reasons for such prohibited characteristics to become known. Clause 16. Any person, who has already been granted an approval to act as a mutual fund manager under the Notifications of the Securities and

trustee is completely vested with the trust property. SECTION 28 The new trustee shall notify in writing to the third person known to the new trustee as the party in the agreement made with the former

derivatives business operator is an individual, such individual shall not have any of the following prohibited characteristics: (1) being a person under receivership or a bankrupt; (2) being an incompetent or

such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting

Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the

performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate

Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please

) [ ] [ ] 2. Key Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS

) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6

public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities