to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for controlling the inflow and outflow of
Company dated 4 January 2000 shall be repealed and replaced by the following texts: “Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not less
2000 shall be repealed and replaced by the following texts: “Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not less than five years. In
client’s assets, as well □ 1. □ (1) □ (2) □ 2. □ (1) □ (2) □ 3. □ (1) □ (2) □ (3) □ (3.1) □ (3.2) (Translation) Particulars For the SEC Officer as related information and documents and controlling system for
its client’s assets; (b) 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
documents, and contact with the relevant authorities or regulatory agencies, such as, the Department of Business Development, Ministry of Commerce, the Office of the Securities and Exchange Commission, the
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
causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to its custody of clients’ assets for at least five years. Such information