and controlling system for acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for
) 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
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment
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
regard, such system shall serve accurately and thoroughly, including verification and safety of such stored things, and shall be at least in accordance with Clause 14; (13) having additional system for the
securities company shall provide information or evidentiary documentation related to verification of identity of its clients , the ultimate beneficiaries for the securities trading of the clients and the
shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office
of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
data or documentary evidence used for verification of identity of its clients, beneficial owners and controlling persons of the clients, including any data or documentary evidence relating to its clients