apply to cases where the right to accept purchase orders is reserved in the scheme. In such event, the mutual fund management company may reject purchase orders as provided for in the scheme; (2) sell or
investment units shall not be concentrated in the holding of any individuals or any groups of persons which could exercise power over fund management and exploit the fund for own benefits such as tax avoidance
> Management of Mutual Fund > Sale and repurchase of investment units Regulations SHARE : Detail Content Management of Mutual Fund 8. Sale and repurchase of investment units 8.1 An increase or reduction
hereunder: “intermediary” means a securities company or a derivatives intermediary. “fund management company” means a securities company licensed to undertake securities business in the category of mutual
establishing a specific time period to make that evaluation? If yes, do the conditions include: • significant changes in the client (such as ownership, management, nature of business or financial position
framework will be: (1) Investment advisor or research analyst; or (2) Broker-Dealer representative providing general investment advice. (3) Fund management professional who has significant role in making
(such as ownership, management, nature of business or financial position); · Changes in the scope of engagement; · Changes in the strategic focus or composition of the firm; · Existing conditions that
tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the