shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works, but they shall keep monitoring such operations. Division 3 Impacts from
a fund , a management company shall appoint a fund manager who is appropriately qualified whereby the person to be appointed as the fund manager shall be in accordance with the Notification of the
professional. Clause 3 In managing a fund, a management company shall appoint a fund manager who is appropriately qualified whereby the person to be appointed as the fund manager shall be in accordance with the
. …………………………………………………………….. 4. …………………………………………………………….. 5. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. ** In case where the applicant intends to appoint an agent to perform the duties of private
. …………………………………………………………….. 3. …………………………………………………………….. 4. …………………………………………………………….. 5. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. ** In case where the applicant intends to appoint an agent to
. Clause 8. A securities company shall not appoint any person to be an agent for the custody of client’s assets unless such appointment complies with the following rules: (1) the person appointed by a
securities company shall not appoint any person to be an agent for the custody of client’s assets unless such appointment complies with the following rules: (1) the person appointed by a securities company as
, Derivative broker shall not appoint any other person to provide the service exception where the service provided from customer contact person for Derivative broker and outsourcing services according to the SEC