supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the
) “ 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
regulatory requirements · Technical knowledge and expertise, including knowledge of relevant information technology · Knowledge of relevant industries in which the clients operate · Ability to apply
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise
such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing
standards of conduct: (1) perform duties with integrity and honesty; (2) perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best
business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
be specified in such a way that it is possible for screening and selecting a service provider who has sufficient and efficient work system; (c) expertise, experience and business reputations; (d