Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain
securities and; (b) a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company
verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting limited to investment units; (4) “ mutual fund management company ” means a securities company
arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this regard, such system shall serve accurately and thoroughly, including verification
) 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
Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited
process for proposed changes; - establish a verification to ensure requirements of IT security policy have been met; - communicate change details to all relevant persons to ensure correct operations