any other person to take such acts on their behalf. SECTION 44 .2 In managing asset deemed to be owned by customer under Section 43, the customers who are not associated with the derivatives business
provisions shall not apply to transactions for a mutual fund for a specific purpose with a mutual fund management company or a connected person . Clause 7 3 Repealed. Clause 8 In the case where a provident
evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT
marketing policies of the major products or services during the prior year by way of, for example, general comparison with competitors (numerical data not required), customers’ characteristics, target groups
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
in general comparison with competitors (numerical data not required)), customers’ characteristics, target groups, sales and distribution channels. In case of export, specify the domestic/export sales
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several subsidiaries or associated companies, they may be presented in
approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 6 The SEC Office shall have the authority to revoke an approval in the following conditions
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets