prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
fund rating business which can be shown that the rules used in the mutual fund rating are based on academic principle and reflects the purpose of mutual fund rating without causing misunderstanding to
must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore, any
the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would
under the scope of this Notification in order that any intermediary would comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and