assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible
the investment policy assigned by the employee. In cases where no investment policy has been assigned by the employee, the previous investment policy shall apply. In cases where no previous investment
; □ (3.9) System to ensure that the custodian agent can perform duties as designated in accordance with the Notification of the Office; □ (3.10) Other systems showing the readiness to undertaking the
securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; (8) having readiness of personnel for proceeding as assigned by the management company . In
securities and exchange , including regulations issued by virtue of such law in the part of their responsibilities; (8) having readiness of personnel for proceeding as assigned by the management company . In
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
Institution Problems” means a person who makes decisions to invest in real estate or leasehold right, select or propose to the unitholders or his designated person who makes decisions on investment in real
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
undertaking its business, with the knowledge, skill and expertise necessary for discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the