similar to or in competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established
-immunization, with knowledge and ethics, to create a sustainable market. 4 Statement of Intent (2017) 5.1 Living the values The SEC recognizes that human resources drive the organization’s ability to achieve its
practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the
. ---------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the Operation of Licensed Businesses
Exchange Commission Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the Operation of Licensed Businesses _____________ By virtue of Section
Exchange Commission Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the Operation of Licensed Businesses _____________ By virtue of Section
enhancing flexibility and resilience in business operation as well as to discuss guidelines for supporting business operation. The meeting’s topics included (1) a study of securities business landscape to
private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
person in and out of the unit responsible for custody the private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted