Qualifications Main duties of a Trust Settlor/Trust Manager Qualification s Being an asset management company or a non-asset management company No records of infringements or negligence of material issues
two parts. The first part prescribes the Qualifications of the CIS Operator, Trustee/Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matter. The second part prescribes
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
, Trustee/Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matter. The second part prescribes the Product Restrictions of Qualifying CIS. To view: Part I : Qualifications of
). Independent Director An independent director is a non-executive member and does not have a pecuniary relationship with the company. He or she must be independent from the major shareholders or a group of
). Independent Director An independent director is a non-executive member and does not have a pecuniary relationship with the company. He or she must be independent from the major shareholders or a group of
Act. (3) Principles maintaining high grade: 15 Principles - Maintaining Fully Implemented o Collective Investment Schemes: eligibility, governance, organization and operational conduct, and
Act. (3) Principles maintaining high grade: 15 Principles - Maintaining Fully Implemented o Collective Investment Schemes: eligibility, governance, organization and operational conduct, and