Clause 4/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
________________________________________________________________________ 5) Please state on what date the Hong Kong Covered Fund is authorised by the Securities and Futures Commission of Hong Kong ________________________________________________________________________ 6
Regulated CIS ________________________________________________________________________ 7) Please state on what date the ARFP Passport Fund is registered with its Home Regulator
Establishment of Risk Management System for Business Continuity of Intermediaries dated 21 October 2016 (“ Notification No. SorThor/Nor. 45/2559 ”) which specify on the rules for operation systems capable to
big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this