units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
private fund; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the
shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the performance of the management company itself
Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of
company” means: (a) Management company; (b) Securities company performing the duties of brokerage, dealing or underwriting of investment units; (4) “Management company” means any mutual fund management
provide bookkeeping or any services which affects its independence to the company or its subsidiaries for which the applicant is the auditor; 6. The engagement performance and responsibilities of the
. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company