disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are beyond the control of the mutual fund management company. The postponement can be made for no
disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are beyond the control of the mutual fund management company. The postponement can be made for no
the company in order for the shareholders to have complete information in making a decision and have control over the executives in risk management, financial management and business strategy. The
Securities Companies Net Capital Rule (NCR) Outsourcing Activities Note: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central
securities company shall allow any person to have control over its administration or management except for exercise of shareholder’s right in shareholder meeting or management under agreement approved by the
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business in the category of venture capital management; consideration on which will be taken into account its internal control system, record keeping system and system for making reports concerning venture
business in the category of venture capital management; consideration on which will be taken into account its internal control system, record keeping system and system for making reports concerning venture