part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant
receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the
of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the appointment to be
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting
to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for
property fund manager shall be deemed terminated and the Office shall remove the name of such person from the register of person qualified to be fund manager if such approved person cease to be the manager