objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
assets with high liquidity and low-price volatility which may be any of the following assets: (1) assets contributed by members; (2) assets procured as collateral for payment obligation; (3) assets
the securities clearing house, including credit risk and liquidity risk. The financial resources shall be assets with high liquidity and low-price volatility which may be any of the following assets: (1
investors and companies managing assets for investors locally and overseas. This in turn will help to create a favorable environment for good corporate governance and encourage responsible business operation
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)