than one entity. Name of a qualifying delegate and sub-delegate (if any): _______________________________________________________________________ Economy(-ies) of a qualifying delegate and sub-delegate
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
, universality and completeness of the rules specified by the association. Clause 11. In case the derivatives fund manager will delegate the investment management of derivatives contracts to another person, such
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
may delegate the duty of disposal of the mutual fund’s assets according to (2) of the first paragraph to the management company. Where there is necessary and reasonable ground that the disposal cannot
company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function
delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or
37 Management of trust is a trustee’s personal duty. A trustee shall not delegate its duty to other persons except where: (1) the trust instrument provides otherwise; (2) it is a transaction that is
contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall not delegate other
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to