structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties
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
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
verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
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