standards arranged by the association or the training institute. If such approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; ( (3) Other requests for approval (which are not subject to
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
supplementing documents. Clause 7. The custodian may commence such securities business only after the Office has approved that the custodian has arranged its operation system and personnel to be ready to
10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator
. In the case where the Office requests the management company to explain or to provide additional documents within a specified period, if the management company does not comply nor proceed within the
be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s
nowadays, whereby the responsible staff in every level shall participate in the test. The BCP of critical business functions shall be arranged at least once a year or when there is a significant change
operation and shall demonstrate to the Office that such fund supervisor has arranged to have systems ready for the operation of fund supervisor business under Clause 2(4) and shall have the personnel of the