in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
, such transaction shall be suitable for the nature, investment policy and necessity on investment of such mutual fund; (b) Such transaction shall not be purchased or sold investment units between funds
) The value of outstanding investment units is insufficient to accommodate the expenses for further investment management; (2) The nature of the sale of investment units, the number of unitholders or the
reason and proportion of voting right in case of the differ to the proportion of investment and the nature of relationship, including the effect from acquisition of or disposal the subsidiary companies to
identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
relating to derivatives business, such as risk management committee, investment committee, or operation supervision committee, etc. Clause 2. As regard the application and approval for appointment of an
Circumstances relating to the nature or timing of the auditor’s work (paragraph number........) ( 2.2.3 Limitations imposed by management (paragraph number........) ( 2.3 If the auditor’s report on the prior
, the price per unit (if applicable), and the investment limit compared to the investment to the private fund’s net asset value by indicating whether such transaction has the nature of a transaction with