function will be ready. Such personnel shall have knowledge, abilities and experiences suitable for the assigned tasks and shall have understanding of general laws related to the professional. The approved
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
operation instantly when encounter it such as disable, delete out from the system or change the password etc.. [M] 4. Security of the computer server. · Having method or compliance guideline for inspect the
deems appropriate, a management company shall arrange for the SEC Office to inspect the operation and evidentiary documentation relating to doing duties of the representative as designated by the
Organization of Securities Commissions (IOSCO) and has already signed as a signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information
will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the
and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain
understanding of risk and investment, investment experience, financial position, financial encumbrances, desire and restriction of investment etc.. Clause 16. In making investment advisory handbook for