advisory company under Clause 3 is unable to maintain collateral and liquid asset adequacy or in the process of amendment of adequacy under Clause 4(2), the investment advisory company shall not undertake
of an occurrence of any of the following events, the SEC Office shall have the power to revoke the approval for the establishment and management of a mutual fund : (1) the amendment of the scheme or
of an occurrence of any of the following events, the SEC Office shall have the power to revoke the approval for the establishment and management of a mutual fund: (1) the amendment of the scheme or
(No.2) dated 09/03/2004. This is repealed for amendment by the Notification No. OrNor. 4/2547 Re: Registration of Persons Qualified to be Mutual Fund Supervisors (No.2) dated 09/03/2004. PAGE
) dated 09/03/2004. 12 This is repealed for amendment by the Notification No. OrNor. 4/2547 Re: Registration of Persons Qualified to be Mutual Fund Supervisors (No.2) dated 09/03/2004. (Translation) 7
transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities company shall not trade
for amending trading transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities