147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93) |- Holidays
|- Related Circular Letter Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93
Practice |- Code of Conduct |- Fees |- Related Circular Letter Fund Rating Agency |- Approval |- Business Operations Rules |- Reporting |- Fees |- Circular Others (Securities Business) |- Separation of
(section 109) |- Revocation of License (section 147) |- Service Outsourcing Guide for Securities Companies Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the
a guidance for companies to evaluate their internal control adequacy. This evaluation form is based on COSO1s framework (The Committee of Sponsoring Organizations of the Treadway Commission) revised
e-service Online Submission See canceled document Others (Securities Business) >> Separation of Securities and Finance Businesses & Merger (section 90) Type Title Section See Document Status