establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
managing the online branch office. Such person may be an officer from the head office or a manager from a full-service branch office. Clause 9. The securities company shall submit the details of the
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
trading in derivatives contract to customer. Clause 8. The derivatives broker shall appoint a person responsible for managing the online branch office. Such person may be an officer from the head office or
may arise from such investment policy; (3) details on the management fee that the management company will receive for managing the private fund and mutual fund or trust. Clause 14 3 In seeking the
work for such persons to have full or partial managing power in the securities company.
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5
system provider specifically to only those who have granted approval under the notification concerning support system provider ; (5) service provider managing payment information for securities trading
entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is
an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no