performed by engagement personnel meets applicable standards, regulatory requirements, and the firm’s standard of quality. Engagement performance encompasses all phases of design and execution of the

supporting system which comprises of the following: (a) personnel or units responsible for supporting of the establishment and management of the fund in all aspects. There shall be orderly systematic

the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this

by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The information shall cover at least the

performance fee basis, the method for calculation of the performance fee should be disclosed together with the disbursement fee and the example of the calculation. (3) Investment policy and investment

and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The

which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (4) having a recording system regarding trading information, especially information

transparent disclosure of information related to execution of trading transactions which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (d

accounts and saving accounts, and those in fixed deposit accounts and certificates of deposit with due dates of not exceeding three months, but not includes bank deposits with an obligation. cash equivalents

2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice