requirements: Clause 1. The Notification of the Office of the Securities and Exchange Commission No. SorNor. 32/2543 Re: Rules, Conditions and Procedures for the Approval of Mutual Fund Managers dated 31 July
, the Office of the Securities and Exchange Commission hereby issues the following requirements: Clause 1. The Notification of the Office of the Securities and Exchange Commission No. SorNor. 32/2543 Re
securities business license in the category of securities brokerage not limited to debt securities or investment units in compliance with the requirements set out in Clause 5(3) or (4), as the case may be
and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is
case, the SEC Office may prescribe other requirements for compliance by the securities company . Clause 8 A securities company shall establish a compliance unit and an internal control unit which meet