needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and
selling within settlement period specified by the clearing house or within performance period specified by counterparty, a securities company shall provide an operating system to support such having
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
other securities business, it shall be deemed that the company has been permitted by the Office to establish a branch office to provide private fund management services for customers. Clause 4. In
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
Federation of Accounting Professions or justifiable in case of any difference therefrom). The applicant shall provide details of the company for which the applicant has affixed signature in giving opinions on