/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall
the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
who is independent from the responsible person for managing information security incidents under (2); (7) maintain all documents related to the management of information security incidents at least two
auditor. In this regard, the Company may choose to disclose the above information by referring to the information or documents already disclosed on the Company's website. In the case where the Company
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back