the form of high quality assets with adequate liquidity. Derivatives clearing houses shall establish clear plans to obtain additional sources of funds in cases where their capital is insufficient for
, and shall be in the form of high quality assets with adequate liquidity. Securities clearing houses and central securities depositories shall establish clear plans to obtain additional sources of funds
already been approved: 8 (1) there is a clear fact leading to the consideration that the rules or conditions to be exempted are insignificant to the case and the costs outweigh the benefits derived from
securities company to 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
estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to obtain prior approval in accordance with Clause 19. In cases where
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset
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 easy to
expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and easy to understand, including details on forecast and risks which may cause the return or
. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and