mutual fund management scheme must be sufficiently intelligible to investors in respect of investment policy, securities or assets or contracts in which the mutual fund intends to invest, the liquidity of
SEC Office has conducted a review and acknowledged that such derivatives broker has a qualified personnel sufficiently to provide derivatives services relating to such precious metal derivatives. A
precious metal derivatives besides gold derivatives only when the SEC Office has conducted a review and acknowledged that such derivatives broker has qualified personnel sufficiently to provide derivatives
contract, the derivatives fund manager shall: (1) Propose investment plans which are suitable for investors; (2) Sufficiently and timely disclose or arrange to have disclosure of information that is
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to
adequately by a panel which comprises of persons with knowledge and experiences in operating business in the capital market or by other relevant organizations; or (2) the committee has already prescribed
the person under consideration has ever been heard adequately by a panel which comprises of persons with knowledge and experiences in operating business in the capital market or by other relevant
_____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to operate business efficiently, responsibly and in
systems and application software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the