persistent threat (APT), the network segregation, the application-to-application encryption, defense-in-depth and the network hardening; (4) define a clear set of controls including access control, monitoring
in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and
of fund performance has been prepared in accordance with performance measurement standards set out by the Association. The statement shall be placed after the statement under (a) and on the same page
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party
scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of