such assets, and for internal control to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for

Company dated 4 January 2000 shall be repealed and replaced by the following texts: “ Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not

keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents

) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification

notices to the creditors or the unitholders whose names appear in the accounts and related documents of the mutual fund notifying such deposit of money or assets through registered mail with advice of

clients’ assets, payment of interest shall not be deemed as a transaction causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to

the seventh day of the following month. Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the

) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the

or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of