to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended
supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to
the protection and maintenance of the best interest of investors under acceptable risk exposure. Therefore, in the supervision of the business of mutual fund or private fund management, it is necessary
decisions accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by giving an
income structure of such period is required, as the case may be. 2 Including the profit margins in the associates based on equity method. 3 Describe the nature and proportion of other incomes, other
investment decision accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by
been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody
equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business