professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the
juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and ensuring
in the Audit Firm and the scheme or criteria in setting up the remuneration to the partners in the Audit Firm in the previous accounting period ensuring that the independence of the auditors shall not
business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any client in each category is treated fairly and with the best
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
fund manager s; and (4) derivatives advisors. Division 1/1( Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that
conflicts of interest which may arise in every process of business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any