supporting investment decisions and investor protection measures. The SEC Office may prescribe conditions for the applicant or the approved person to comply with. Part 2 Filing of the Registration Statement
interest CRA rating decisions should be independent and free from political or economic pressures and from conflicts of interest arising due to the relationships that may compromise or appear to compromise
shares, by primarily taking into account the appropriateness and sufficiency of information used for making investment decisions and measures for investors protection. In this regard, the Office may also
making decisions on securities trading for the securities company [proprietary trading]. Clause 7 A securities company shall separate the work units and personnel responsible for securities trading [front
units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for making decisions on securities trading for
needed for making investment decisions to clients, as well as arranging clients’ information in support of the management company ’s consideration of the application thereof, and providing consultation to
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
or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties, leasehold rights to immovable
manager” means a mutual fund manager or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties