) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
, in addition to the action under the first paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in
fund manager; (16) Intentionally neglecting to take action in compliance with any order of the Office or the Securities and Exchange Commission under Section 141, Section 142 or Section 143; (17
in any material aspects or concealing material facts which should be declared in the application for an approval to act as a mutual fund manager; (16) Intentionally neglecting to take action in
and is subject to anti-money laundering and terrorist financing regulatory and oversight regime that is comparable to international standards accepted by the Office, e.g. Financial Action Task Force