issuer within appropriate time. A securities company shall not claim the benefits of the client without an order or consent of the client in writing. CHAPTER II Record of Particulars of Client’s Assets
company fail to effect such amendment within the specified time, the Office may order dissolution of such mutual fund. Clause 22. In the event that the management company has been granted approval for
shall be completed within one year from the effective date of this Notification. Should the management company fail to effect such amendment within the specified time, the Office may order dissolution of
observation from the due diligence in order for the applicant to clarify such observation within the period specified in the notice of observation. In this regard, the SEC Office shall conduct the due diligence
traction, buoyed by both domestic and international factors. However, the business sector faced rising challenges, namely various forms of competition, a borderless marketplace within the ASEAN Economic
by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause
contact may violate or does not comply with the rules prescribed by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days
the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause 13. The securities
information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the Notification of the Office of the Securities and Exchange Commission