funds’ assets, and for recording the asset inflow and the asset outflow of each mutual fund; (e) Systems for attending and monitoring the rights and benefits arising from mutual funds’ assets
management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper
monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside information among work units
monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
monitoring the compliance with the policy and measures set in place; 7 (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
, so as to efficiently accommodate the undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/15