System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to
_____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to operate business efficiently, responsibly and in
mutual fund management scheme must be sufficiently intelligible to investors in respect of investment policy, securities or assets or contracts in which the mutual fund intends to invest, the liquidity of
areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and
regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the
and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing
service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for
and ultimate controlling persons, is adequately disclosed to the public; (2) the client is a financial institution or a CIS under supervision of a regulator whose regulatory and oversight regime in
adequately by a panel which comprises of persons with knowledge and experiences in operating business in the capital market or by other relevant organizations; or (2) the committee has already prescribed
the person under consideration has ever been heard adequately by a panel which comprises of persons with knowledge and experiences in operating business in the capital market or by other relevant