., shareholders, entities whose shares are held, common shareholders, common directors, using the same trademarks, or sharing employees, etc. In case of shareholding between the audit firm and any of the network
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
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
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
is clear and easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is
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
have clear guidelines for the exercise of voting rights to maintain the best interest of the mutual fund and the guidelines shall be approved by the board of directors of the mutual fund management
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
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
basis; (e) having a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts or damage on