September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
(Recovery point objective), such as data on assets of customers and funds, securities or unit trading transactions or information on NAV, so that companies are able to operate consecutively and render no
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds dated 10 June 2004; (5) Clause 4(3) of the Notification of the
, No. SorNor. 28/2549 Re: Investment and Holding of Assets for a Fund dated 17 July 2006 under Part 2: Rules of Investment Limit of Funds and preceding Chapter 1: Rules of Investment Limits in General
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
delivering of assets of the fund so that the client, the custodian, the management company or the mutual fund supervisor shall receive the assets forthwith to allow continuous management of the funds