check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the
significantly alter the returns and risks of the fund, for example, the calculation and announcement of asset value, unit value, subscription and redemption prices. The consultation paper can be