) Systems for receiving and processing complaints of unitholders’; 2(k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such applicant
. …………………………………………………………….. 4. …………………………………………………………….. 5. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. ** In case where the applicant intends to appoint an agent to perform the duties of private
. …………………………………………………………….. 3. …………………………………………………………….. 4. …………………………………………………………….. 5. …………………………………………………………….. (Sign) ………………………. Consider person Date …………………….. ** In case where the applicant intends to appoint an agent to
transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices and time, which may be deemed that he intends to match the trades (matched order) without any
advantageous or competitive, terms and conditions of transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices and time, which may be deemed that he intends to
and time, which may be deemed that he intends to match the trades (matched order) without any justifiable purposes; (8) the client deposits a significant amount of cash with securities company without a
remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an investor contact
to the remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an
to be Fund Manager ______________________ Clause 6. Any person being at least twenty years old and intends to obtain an approval from the Office to be listed in the register of person qualified to be