custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in
assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is
company; (2) Exercise voting rights at the shareholders’ meeting concerning the matters which may materially affect the interest of the mutual fund; (3) Arrange to have an effective operating system for
operating system for monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using
electronic work system of the Office. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the
application to the Office, together with documents and evidence as per the forms and procedures provided in the electronic work system of the Office. The Office shall notify the securities company of the result
managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment