and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
person to be the manager of the fund and the assets generated from the fund; (3) having an investment policy whereby investment in a business is made through entering into an agreement for investment in
done at any period. In any case, the Company shall do so with discretion to ensure that the prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the
executive is through a nominating committee, the number of directors representing each group of majority shareholders (if any), and the rights of retail investors to appoint directors (whether it is a
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the
operation, or services of brokerage, dealing or underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any
have clear guidelines for the exercise of voting rights to maintain the best interest of the mutual fund and the guidelines shall be approved by the board of directors of the mutual fund management
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back