may arise from such investment policy; (3) details on the management fee that the management company will receive for managing the private fund and mutual fund or trust. Clause 14 3 In seeking the
will receive for managing the private fund and mutual fund or trust. Clause 14 3 In seeking the consent under the first paragraph of Clause 13 or the first paragraph of Clause 13/1, the private fund
all committee members shall not be executives, staff members, or employees of the derivatives clearing house or its affiliate; (4) set up a unit for managing risks according to policies concerning risks
with applicable law and standards, and expecting and supervising business partners to respect human rights, social and environmental responsibilities, and treat their employees, staff, and workers fairly
mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested
; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in
; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in
describe C3 Does the person who is responsible for supervising the investigation · Has sufficient and appropriate experience · Has authority within the firm; and Is otherwise not involved in the
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for