arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal
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
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
done without any ground to believe that its financial status may cause damage or any circumstance indicates an ongoing financial problem; (b) capability and readiness for operational function which shall
_____________________________________________________________________ Remark : The investment management of mutual funds and private funds shall be carried out by fund managers with qualifications and appropriate characteristics i.e. having knowledge, ability, honesty
equipped with knowledge and capability in trading futures contracts and protecting their own interest.
investment capital with knowledge, ability, prudence and integrity in considering with the best benefit of investor. To avoid entering into transaction that may create conflict of interest between the fund and
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control