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       Principles for the Supervision of Operat...
         I. Introduction
         II. Why Supervise Operators of Collectiv...
         III. Principles Of Supervision










 

Principles for the Supervision of Operators of Collective Investment Schemes

III. Principles Of Supervision

1. Conduct of Business

2. Connected Party Transactions

3. Valuation of CIS Assets

4. Safekeeping and Segregation of Investments

5. Investment

6. Fees and Expenses

7. Internal Controls and Compliance Arrangements

8. Disclosure

9. Accounts and Record Keeping

10. Continuous Eligibility

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