management company/the mutual fund supervisor at least within 15 days before the date of changing of the management company/the mutual fund supervisor 2. In the case of a private fund, the management company
supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a securities company will continue or be restored in a timely
procedures. E Engagement documentation: 13 Has the firm established policies and procedures for engagement teams to complete the assembly of final engagement files on a timely basis after the engagement
personnel with the firm’s list of clients and any related entities and inform them on a timely basis as to any changes in the firm’s clients and any related entities to which independence policies apply? a
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
contract, the derivatives fund manager shall: (1) Propose investment plans which are suitable for investors; (2) Sufficiently and timely disclose or arrange to have disclosure of information that is
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office
application process changing materially, and the SEC Office has passed such preparedness; (2) maintaining qualifications and keeping its characteristics as demonstrated in Clause 4 throughout undertaking