intend to provide. Auditors should be aware that KAMs can signal risks to investors; therefore, their writing of KAMs and their considerations regarding the number of KAMs should be done with care. To
within thirty days from the date of termination of membership. 4 In case of termination of membership because of death, if the employee did not, by a will or in writing delivered to the fund manager
Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents
case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional
case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional
supplemental documents. In case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the
the employees and conflicts of interest in the employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the
the employees and conflicts of interest in the employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the
SEC Office in writing for stopping being as a REIT manager and the SEC Office permits thereof; (2) the SEC Office revokes the approval or orders a suspension of operation for the remaining period of the