short sale; (4) collect the information and evidence of each client in a separate folder which shall be updated on a regular basis; (5) review the client’s limit under (1) at least once a year or upon any

)( other evidentiary documentation as specified in the Licensing Manual for the Public. Clause 5 The application for a license under Clause 3 shall contain at least the following particulars: (1) the

the Public. Clause 5 The application for a license under Clause 3 shall contain at least the following particulars: (1) the submission date; (2) name and location of the applicant; (3) name, work

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is comprising of, at least, the following particulars: (1

least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The

writing with an approval from the company’s board of directors and shall contain at least the following details: (a) system for the calculation of capital adequacy according to standard required by the

shall be prepared in writing with an approval from the company’s board of directors and shall contain at least the following details: (UNOFFICIAL TRANSLATION) (a) system for the calculation of capital

internal control. Such policies, rules and practices shall be prepared in writing with an approval from the company’s board of directors and shall contain at least the following details: (UNOFFICIAL

investment units which are entitled to voting; (2) In cases where the resolution is requested by convening a meeting of unitholders, the resolution shall be passed by at least three-fourths of the total