) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or underwriting of investment units by
operation, or services of brokerage, dealing or underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any
that time a great deal has changed in the Asian corporate governance landscape, in great measure due to the continued operation of the Asian Roundtable. Moreover, the OECD Principles were themselves
business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it to operate as a
improvement in its business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to
(Maker & Checker) (2) Having a clear prescription of duty of the person in an operation (3) Having work procedures for reference and training of new staff. In the case where there is an amendment to the
Operation System 3.1 Accepting of Purchase or Redemption Order of Investment Units Objective A management company shall have a clear principle in taking of purchase or redemption order of investment units and