on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind the protection and

) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work

-trade information; (d) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post- trading activities (audit

investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents

matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any

Notification prescribing detailed rules relating to the matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case

to examine such implementation. Clause 5. In the case where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this

/Percentage) Remarks: besides application fee, an applicant should be responsible for expenses incurred from the SEC Official visit to examine working paper and audit quality control system of the audit firm

efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages

the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a