from provident funds (1) Develop and implement a system which separates the unitholders who receive proceeds from a provident fund (“PVD") from the general unitholders of the RMF. (2) Develop and
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
group of persons with a number of not over 35 persons; (2) The private fund management company shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management
writing to the Court within the time period prescribed by the Court. The application of Class Action to the offence or liability under the Securities and Exchange Act The characteristics, examples and the
members or does not want to be bound by the judgment, such person shall notify his or her wish in writing to the Court within the time period prescribed by the Court. The application of Class Action to the
in a continued and credible manner. Good internal control Specify the scope of powers and duties and approval of transactions in a transparent form in writing. Separate the powers to approve, record
of investor's confidence to securities business industry. Clause 7 Securities company having major shareholder with disqualified characters specified in Clause 4, shall, in writing, notify the SEC