- - - - - - Member of fund investment committee - - - - - - Fund manager - - - - - - Investment Consultant /1 - - 3 - 4 10 Other Professionals Auditor /2 - - - - 1 - Financial advisor - - - - - - Supervisor of
of the increase or decrease in the number of investment units. “Scheme” means an open-end fund management scheme. “Fund supervisor” means the fund supervisor of an open-end fund. “Office” means the
increase or decrease in the number of investment units. “Scheme” means an open-end fund management scheme. “Fund supervisor” means the fund supervisor of an open-end fund. “Office” means the Office of the
decrease in the number of investment units. “Scheme” means an open-end fund management scheme. “Fund supervisor” means the fund supervisor of an open-end fund. “Office” means the Office of the Securities and
Exchange Commission OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor (codified as of 09/03/2004) (Synopsis) 19/03/2001 6. Report/Form (Notification of Securities and
COMPANY LIMITED Disclosure Business News ( 19 record(s) found) Date Time Heading Link 29/12/2021 17:26 Notification of the resignation of the Company's director and appointment of a supervisor for
fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The assets or securities of the open-end fund cannot be reasonably disposed of, distributed or
fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The assets or securities of the open-end fund cannot be reasonably disposed of, distributed or
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund