timing such as: 1. Issue monthly report to show the flow and the balance of assets in each month; 2. Issue daily report in the case of client’s order to transfer money or assets to other person or in the
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
investment in foreign securities, for example, lawsuits/ legal proceedings, investor protection rights related to corporate matters, restrictions related to money transfer to other countries (if any), etc. The
specified in the fund project provided that the management company is able to show that such redemption will not affect the fund’s viability; (2)* having the term, infrastructure fund, at the end of its name
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
under Clause 21: (1) terms regarding the securities to be lent out and collateral shall include the following details: (a) the lender has to transfer the securities without preferential right or any
educational qualifications, experiences and training for performing such duties; (3) Clarify whether the appointment, removal and transfer of the head of the internal audit unit requires the Audit Committee’s
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the