Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
aspects of biases comprising (1) emotional or preference biases: focusing on present rather than future incidents; (2) belief bias: making conclusion based on too small sample size while associated risks
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls