. Clause 9. In managing a mutual fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional
fund, the mutual fund manager shall: (1) Comply with the laws, rules and regulations relating to mutual fund management; (2) Perform duties by adhering to the professional ethics and standards as
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
contact” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
who commit offenses as prescribed by the acts/royal decrees under the power and duties of the SEC Office. 1. Personal data collected by the SEC Office: The SEC Office collects the following personal
order to value the asset for capital market transaction, an appraisal company in capital market and a lead appraiser shall perform duties in accordance with standards and ethics regarding appraisal
) Accounting and tax, e.g. provide accounting service, assist in filing of statutory accounts and tax with relevant authorities 6) Liaise and coordinate with advisors for proceeding secretarial tasks, e.g
client ; (4) avoids any action which causes the client to breach or fail to comply with the restrictions or duties as stipulated by any law in case the client notified [the intermediary] about such