rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and referable source; (2

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

signature of the member of the fund committee in the letter notifying the termination of membership with the sample of authorised signature of the member of the fund committee that has been given to the