· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
management company may request a relaxation on the following matters: (1) Appointment of fund managers as approved by the SEC. (2) Preparation of and submission to the SEC a report on fund managers' starting
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
a general approval for individuals who have been ready to perform the duties of PF/DF marketing agents, (2) the relaxation of work system requirements to focus only on those essential for duty
definitions of ultra high net worth investors (UHNW);(2) relaxation of ratio and product limits for mutual funds which are offered to institutional investors and UHNW whereby investment in any type of financial
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
by the said issuer or sponsor, respectively.Besides, relaxation of rules is also proposed to allow FA to provide service for securities issuer or sponsor in cases where staff of FA?s investment bank
total number of REIT units sold, the limit applicable to other unitholders. The relaxation aims at enabling trustee participation in firm commitment deals of underwriting REIT units. The above amendments
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with