responsibility for private fund management. Directors, managers and persons with managerial authority who are responsible for managing private fund for legal entity under the first paragraph shall also have
persons with managerial authority who are responsible for managing private fund for legal entity under the first paragraph shall also have qualifications specified under Sub-clause (3) and (4) Where the
the authority in accordance with law on securities and exchange, in the offences of unfair securities trading practices, or fraudulent or dishonest management; (3) has been tried in any criminal
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or
sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or
________________________________ This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event
with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution
> Management of Mutual Fund Regulations SHARE : Detail Content Management of Mutual Fund Summary of regulations Related Regulations Summary of regulations 1. Authority of the SEC 2. Fund managers 3