referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a

allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal management process; (d) monitor and review the users

conditions as prescribed in Division 4 of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or

, business controlled by the audit firm and business under the same control as the audit firm, either directly or indirectly; (c) business under significant influence of the audit firm; (d) partner or

4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order

provisions of the first paragraph shall not apply to the assets or persons as follows: (1) client’s assets which is a mutual fund, private fund or other similar funds managed by a securities company, acting as

over the audit firm, business controlled by the audit firm and business under the same control as the audit firm, either directly or indirectly; (c) business under significant influence of the audit firm

of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or services, more than those should

derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of

repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to