matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
, call center or other distribution via various media. 5.3 Required resources for operation Companies should prepare or procure required resources for operation, such as procurement or determination of
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is not being
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
management of property funds. “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company
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
operation of financial asset CIS that are offered to the general public: _______________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered