, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the
or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of
) determining a compliance plan and operational procedures clearly, which should cover the overall business operation upon approval of the board of directors or the executive board. In this regard, the compliance
leaving the regulatory sandbox upon or before expiration. (5) specifying a limited scope of services to alleviate material impacts or damage on investors or the overall capital market, for example, types or
strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a limited scope of operation to alleviate material impacts or damage on investors or the overall capital market
material to maintain its professional status, or in any aspects which would affect the overall creditworthiness as professional. Clause 3 . In soliciting investors to enter into a derivatives fund management
matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance
, and the names of competitors (only in the case of duopoly or oligopoly), etc. (3) Procurement of products or services Describe an overall procedure for procuring products for sale during the preceding