. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
compliance or the internal audit unit, and the organization structure of for the unit responsible for custody of private fund assets shall have a clear scope and shall not combined with other unit which will
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to
which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified
following funds: (a) a fund which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract
included in the private fund management agreement. 3.3.3 Acquiring and Delivering of assets of the fund Objective A management company shall have a clear rule of practices concerning the acquiring and
basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts or damage on
Office on a continuing basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e