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 pertaining to rules for
of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a
of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a
of the CIS Operator, Trustee/Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matter. The second part prescribes the Product Restrictions of Qualifying CIS. To view
, 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
business in the category as applying for license and other activities as permitted by the SEC; (4) be able to show that its operational system will be prompt for operating securities business in the category