have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received. (c) having an application for an
obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2) a warning stating that “investment contains certain risks; investors are
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
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business