appropriately and sufficiently in line with the number of clients and the transaction volume; 2) Rectifying the client acceptance policy to be consistent with the work systems capable of providing services
been in place, so that the SEC imposition of supervision and enforcement measures will be considered proportionately and appropriately, in favor of such business operators. The risk management manual
considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a
case where the Office considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for
of the mutual fund, which properly reflect the mutual fund’s risk level, according to the guidelines attached to this Notification; (3) classification of investment units, at least including the
a fund , a management company shall appoint a fund manager who is appropriately qualified whereby the person to be appointed as the fund manager shall be in accordance with the Notification of the
professional. Clause 3 In managing a fund, a management company shall appoint a fund manager who is appropriately qualified whereby the person to be appointed as the fund manager shall be in accordance with the
and its subsidiary (the Company) hereby submits its reviewed consolidated financial statements for the first quarter ended 31st March 2018 which was duly approved by the Board of Directors. The Company