indicated in the documents published for dissemination of mutual fund rating information, containing essential statement that the information on mutual fund rating should be used only for supplementing the
investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents
to the management company for considering an approval; (2) disclosure of information or documents needed for making investment decisions to clients, as well as arranging clients’ information in support
management company shall submit to the Office an application as per Form 117-6 attached to this Notification together with related documents. In the event that after the Office has granted an approval for such
application as per Form 117-6 attached to this Notification together with related documents. In the event that after the Office has granted an approval for such person appointed by the management company to act
keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to
interest, including keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the
and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and