approval of trust manager (3) criteria for the performance of duties of trust managers; (4) authority of the SEC Office with respect to (1), (2) or (3). Clause 3 The person who will be granted approval as
Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors
: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which
governance? 3 Does the engagement partner have the appropriate capabilities, competence, authority and time to perform the role? 4 Do the responsibilities of the engagement partner are clearly defined and
of illegal practices in securities and derivatives markets. - enforcement authority and effectiveness: civil actions for major violations, and support of class action under The Civil Procedure Code
. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription of additional rules Calculation and announcement of net asset values (NAV
expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end mutual fund by a resolution of the unitholders. Authority of the SEC Fund managers Mutual fund
investment units according to the changes in NAV or the investment unit values. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund
unitholders to pass a resolution to convert from a closed-end mutual fund(CEF) to an open-end mutual fund (OEF), (in the case of a conversion of a mutual fund scheme) Authority of the SEC Fund managers Mutual
proceeds to calculate any amount of the investments, and any overall figures of the mutual fund business. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial