” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no

3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been

, transferring, leasing or granting the rights in the infrastructure asset to the fund. (2) the common shareholders to be allotted the units shall not be a director or an executive of the listed company, or a

the Securities and Exchange Commission as qualified to be appointed as fund manager; “Person with Power of Management” means managing director, deputy-manager, assistant manager, department director

. Clause 3 . The management company managing any mutual fund may be the liquidator of such mutual fund or may appoint other person as prescribed by the Office as the mutual fund’s liquidator only when it has

lot; or (3) transferring the securities and derivatives to others without consideration; the reporter shall specify the name of the purchaser or the transferee and the relationship with the director

director, or chairman and manager are from the same family, or chairman is a member of the executive board or a taskforce, or is assigned to take charge of managing the Board of Directors, describe the