-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person or a
and the group of other assets. In case of assets of an infrastructure business, the following information shall also be specified: (a) name, location, characteristics and type of the assets of an
) documents containing details in relation to ASEAN Collective Investment Scheme to be offered for sale which shall have the same characteristics of the forms and list specified in the Registration Statement
an application to the SEC Office together with evidentiary documentation as specified by the Notification of the SEC Office. In this regard, the applicant would obtain an approval from the SEC Office
institution established under specific law under Clause 4(1) (2) and (4) shall maintain its qualifications specified in Clause 5; (2) registered derivatives business operator who is a foreign juristic person
financial company, a securities company, or a financial institution established under specific law under Clause 4(1) (2) and (4) shall maintain its qualifications specified in Clause 5; (2) registered
)( other evidentiary documentation as specified in the Licensing Manual for the Public. Clause 5 The application for a license under Clause 3 shall contain at least the following particulars: (1) the
capable of preventing wrongful acts; (2) list of securities for which the applicant has provided services as registrar (if any); (3) other evidentiary documentation as specified in the Licensing Manual for