management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a group of persons with a number of not over 35 persons; (2) The private fund management company
management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a group of persons with a number of not over 35 persons; (2) The private fund management company
, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information (Inspection of the director and executive's qualification on the company's request) (Form
Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
specified by the Civil Sanction Committee, such offender must sign a letter of consent. After the offender has made a payment of pecuniary sanction in full, the right to institute a criminal prosecution shall
liabilities and risk haircuts – to ensure that there are sufficient liquid assets to absorb losses, maintain stable financial status and, in the event of insolvency, prevent damage to client assets and the
has been executed, the private fund management company shall disclose the following information to its client: (1) Assessments of performance results of the private fund; (2) The name of the
has been executed, the private fund management company shall disclose the following information to its client: (1) Assessments of performance results of the private fund; (2) The name of the
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation