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
management company shall not list the units sold to major investor on the exchange; 2. the management company or the registrar shall not register the unit transfer in 1. made to any person other than a major
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized
information 16. Management discussion and analysis Part 3 Information on the offer for sale of securities 1. Details of the securities being offered for sale 2. Transfer restriction of the securities being
auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
shall sign on the risk disclosure statement to certify that the risks relating to trading derivatives have been clarified to the client, and shall arrange the client to sign on such statement to certify
Item 11]. 4. Management of the computer network systems and information transfer: - communications security [Referring to Item 9] - information transfer [Referring to Item 9.2] 5. Protection against
preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither
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