the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The agreement shall not be
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
acknowledgement to create awareness of the IT security in the use of the cloud computing; (7) define clear roles and responsibilities of the cloud provider such as the data backup, the helpdesk services, the
) 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
in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and
is clear and easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
the parties and clear performance where there is either a breach of contract or a triggered condition of acceleration clause. In cases where the lender is an institutional investor under Section 3 of