has an interest, whether directly or indirectly, in such mutual fund or management company in a manner that may cause unfair, non-impartial and non-independent in arranging the mutual fund rating; (8
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
delay. Clause 13 A management company shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the
Business regarding the prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a