be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
of contribution in such limited partnership is less than one percent of the total amount of the contribution of that limited partnership; (e) in the case where the shareholding in such limited company
provisions regarding the employees’ savings and the employer’s contribution payable to the fund; (7) the provisions regarding the rules and procedures for the computation of benefits entitled to the employees
percent of the total shares sold or amount of contribution of such person. Except that such person in 1. is a company established in the foreign country; (c). Juristic person which management company hold
such securities and the right/total share percentage), including contribution to the provident fund, as prescribed in the guidelines under (1). 8.5 Personnel Specify the total number of the Company’s
their characteristics (for example, monthly salary, bonus and contribution to the provident fund, etc.) as well as the human resource development policy. 11. Corporate governance Describe the operation or
done at any period. In any case, the Company shall do so with discretion to ensure that the prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
) 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