Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
. SEC has therefore drafted the rules and regulations on the matters including the rule on collection of copying charges. Proposed draft provisions include:(1) Notification of trustee’s resignation: In
public hearings from the third quarter of 2017 to the second quarter of 2018 and has included comments and suggestions of the private sector in the revision of the criteria. Most of the parties
e-service Online Submission Private Fund >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 15/2543 28/08/2000 2. Notification of the Securities
Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management Report/Form (Notification of Securities and Exchange
Procedures for Approval of the Private Fund Custodian 22/12/2004 16/12/2004 4. Notification of Capital Market Supervisory Board 85/2552 03/08/2009 01/09/2009 5. Notification of Capital Market
Exchange Commission) Form 133-1 Report on Changes of Information of Private Fund Manager 18. Report/Form (Notification of Securities and Exchange Commission) Form 117-7 Report on Changes of Information of
Office under the Notification of the Capital Market Supervisory Board concerning Establishment of Retail Funds and Mutual Funds for Accredited Investors and Execution of Agreement for Management of Private