obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client

appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant

well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under

consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a

ensure that the IT asset management meets the following criteria: (1) identify persons or units responsible for each type of IT assets over the whole asset lifecycle; (2) establish the terms for acceptable

: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the

and clarify the risks of losing returns or rights or investment money, in whole or in part. The aforesaid risk factors include only those likely to affect the Company, the group of companies or the

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due