providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
assigning a person to hold the positions under Clause 5, such person shall meet the following criteria: (a) having the qualifications and not possessing the prohibited characteristics according to Section 103
the unit and personnel responsible for managing investment in such other assets from other units and personnel which may seek benefits from misuse of inside information. (2) in case of assigning a
case, if the auditor holds an excessive workload in overall, he or she may fail to oversee the quality of listed companies’ audit engagements thoroughly. Hence, when allocating work to auditors in the
Conditions in Outsourcing Operational Function ______________________________ Clause 20 An intermediary shall arrange to have a written contract assigning a third party to be the service provider for function
Conditions in Outsourcing Operational Function ______________________________ Clause 20 An intermediary shall arrange to have a written contract assigning a third party to be the service provider for function
Conditions in Outsourcing Operational Function ______________________________ Clause 20 An intermediary shall arrange to have a written contract assigning a third party to be the service provider for function
example, not putting the assets of private fund clients in custody of depository, allocating IPO shares to private fund clients only while allocating none to mutual funds under the company’s management
funds to be exempted if asset management companies comply with all obligations, such as widely allocating investment units to the general public, managing liquidity effectively and having measures to