prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage
should be verified; 1.2 Roles and responsibilities of high-level management Objective The management company is a vehicle which raises funds from retail investor to invest in capital market, therefore it
Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
supervisory standards on collective investment schemes with characteristics similar to mutual funds (Principles 24-27); however, in case of outsourcing the function which is investment management or derivatives
notification of the SEC. “derivatives fund manager” means any person who, in the ordinary course of business, engages in the business of managing funds for others, or holds himself out to the general public as