shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of an
mutual fund management companies3. Chapter 1 General Rules ___________________ Division 1 Mutual Fund Supervisors ___________________ Clause 8 A mutual fund management company may change a mutual fund
SEC has also coordinated with the Department of Special Investigation (DSI), the Economic Crime Suppression Division, and the Technology Crime Suppression Division for their respective consideration
) the Technology Crime Suppression Division, (4) the Economic Crime Suppression Division, (5) the Office of Consumer Protection Board, (6) the Fiscal Policy Office, (7) the Office of the National
capital market. Chapter 1 Application for Approval as Auditor in the Capital Market ___________________ Division 1 Filing of Application ______________________ Clause 7 Any person intending to be an auditor
Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An intermediary who wishes to establish a domestic or oversea
Being REIT Manager __________________ Division 1 Applying for obtaining an approval _____________ Clause 4 The following companies can apply for obtaining an approval of being a REIT manager [from the SEC
complete information handed over to the intermediary as requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of
the rules under Clause 7 or Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information