manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note: This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed
will submit the Notice of Shareholders’ Meeting together with the report of opinion of the Independent Financial Advisor to the shareholders at least 14 days prior to the shareholders’ meeting date. 8
personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each
(Unofficial Translation) 1. Human resources planning of each unit should demonstrate the adequate amount of personnel for each unit especially for the investment management division which should have at least 2
keeps records of lending of money to a client for purchasing securities and lending of securities to a client for making a short sale; 4“initial margin rate” means a minimum rate of money to be paid or
securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent