: Securities companies are required to have proper risk management systems and procedures to ensure that possible damages from conducting business will be managed to the level that does not affect the business
; 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify such passively-managed investment strategy ________________________________________________________________________
fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a
Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
, Property Development, A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor, Emerging Markets)? If so how are above “normal risk” clients managed
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
by the intermediary . Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets , the SEC Office shall settle such assets with the official
insurance company; (9) mutual fund; (10) private fund managed by a securities company for the investment of ultra-high net worth investors, high net worth investors or investors under (1) to (9) or (11) to
practical for property fund managers’ lines of work such as Investment in Real Estate, Real Estate Project Development, Strategic Planning of the Projects, Real Estate Management, Consulting for Real Estate