. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
is the trend of the industry? Can the company compete with other business competitors? Are there any restrictions in the company's operation? Disclosed information Business structure / product or
management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV/AUM of the mutual fund management company, and that of the industry. Authority of the SEC
management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV/AUM of the mutual fund management company, and that of the industry. Authority of the SEC
conflict of interest must not do business which is in competition with the company. There must be no related party transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage
track record in managing retail funds, and funds offered under the framework are regulated and managed based on industry best practices. Regulatory Summary Related Manuals/Guidelines Related Rules and