obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five

investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases

” means the amount of money which a management company receives from selling units and is registered with the SEC Office; (17/1)8 “ auditor ” means a certified public accountant who has obtained an approval

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is

dividend account e.g. monitoring incoming money to the account for dividend payment, safekeeping and paying of cheques for dividend payment, examining documents related to the approval on cheque preparation

person who appraises the assets shall have any of the following characteristics: (1) being a financial advisor or an asset appraisal firm in the capital market whose name is on the approval list of the SEC

is required to file Form 56-1 as well, a reference may be made to the guarantor's Form 56-1 available on the website of the SEC Office. 7.4 Dividend policy Specify the dividend policy of the Company

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval

laws3 Specify the applicable laws on debt securities 1.1.4 Clarify the obligations to which the Company has committed in the registration statement for securities offering and/or the approval conditions