procedures as specified in the notification of the Office. Clause 16. In the management of funds, the Office, upon the approval from the SEC, shall have the authority to issue notification specifying rules
specified in the notification of the Office. Clause 16. In the management of funds, the Office, upon the approval from the SEC, shall have the authority to issue notification specifying rules, conditions and
organizational capacity, the SEC will focus on the following: (1) Board level Strengthen the SEC Board’s leadership role in defining the organization’s direction and strategies and ensuring that the Capital
. Medium-high risk 5 ▪ has a net exposure in equities, fixed income, or alternative assets. ▪ In case of CIS without specifying its investment limit in equities, the risk level should be in accordance with
workers who are responsible in each division, considered in specifying the frameworks, policies and reviewing the methods of the Company’s risk management to cover and comply with the economic condition
, unless the scheme specifies to comply with the Dispute Resolution and Enforcement Mechanism (“DREM”); (7) specifying to disclose material information at least being the same as the information disclosed to
, unless the scheme specifies to comply with the Dispute Resolution and Enforcement Mechanism (“DREM”); (7) specifying to disclose material information at least being the same as the information disclosed to
and specifying exact time when the report would be able to be submitted. In case the SEC Office determines that such request is necessary and appropriate, the SEC Office may render a waiver for such
written form to the SEC Office before the expiration of the submission period by demonstrating reasons for request and specifying exact time when the report would be able to be submitted. In case the SEC
before the expiration of the submission period by demonstrating reasons for request and specifying exact time when the report would be able to be submitted. In case the SEC Office determines that such