invests mainly in equities, the risk spectrum should point toward Equity Fund (level 6). In addition, if the fund adjusts the investment proportion significantly, the CIS Operator should revise the risk
limit in equities or alternative assets, the risk level should be in accordance with the actual asset allocation of the fund. For example, if the fund invests mainly in equities, the risk spectrum should
the actual asset allocation of the CIS. For example, if the CIS invests mainly in equities, the risk spectrum should point toward level 6. In addition, if the CIS adjusts the investment proportion
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
its scope of the review or audit by the TSF’s executives of the securities issuer for that the financial statement. However the auditor has performed his duties on auditing or reviewing and expressed
limited its scope of the review or audit by the TSF’s executives for that the financial statement. However the auditor has performed his duties on auditing or reviewing and expressed qualified opinion for
limited its scope of the review or audit by the TSF’s executives for that the financial statement. However the auditor has performed his duties on auditing or reviewing and expressed qualified opinion for