applicant under Clause 6 shall not have prohibited characteristics as prescribed in the Notification of the Securities and Exchange Commission concerning prohibited characteristics of personnel in securities
applicant under Clause 6 shall not have prohibited characteristics as prescribed in the Notification of the Securities and Exchange Commission concerning prohibited characteristics of personnel in securities
characteristics of personnel in securities business. Clause 9. In maintaining the status of being listed in the register of person qualified to be fund manager, a person shall: (1) Attend a refresher course
prescribed in the Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business. Clause 10. The approval to be listed in the register of person
governing prohibited characteristics of personnel in securities business. Clause 10. The approval to be listed in the register of person qualified to be fund manager is given for two-year period, the first
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
management plan, the management company has personnel designated as an investor contact person and has a system that allows communication between the investor and the investor contact person when the investor
provide investment advice or to solicit customers with private fund management plan, the management company has personnel designated as an investor contact person and has a system that allows communication
quality management of audit engagement? 2 Where are standard audit manuals kept? Do the firm policies and procedures maintain or provide its personnel access to adequate and up-to-date audit manual, firm’s