Amalgamation and merger of mutual fund Procedures in a case of defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual
-End fund Amalgamation and merger of mutual fund Procedures in a case of defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for
executive of any listed company on the Stock Exchange and are banned from holding such positions while the complaint procedure is underway. In any case, filing a criminal complaint commences the criminal
shown progress; for example, the amendments to law on securities and exchange to introduce civil sanction and self-regulatory organization in the capital market (SRO), the amendment to the Civil Procedure
amendment to the Civil Procedure Code to enable class action law suits, the amendment to law on securitization to be in line with international practices and the amendment to law on provident fund to allow
advice; (6) measure on prevention of conflict of interests provided by the investment advisory company; (7) procedure and source of information used in giving advice to the customer; (8) procedure and
derivatives trading account, the derivatives broker shall establish a written method and procedure for considering an account opening application. Reasonable processes shall be established to ensure that the
the client under Clause 17. Clause 20 In considering an application for opening a derivatives trading account, the derivatives broker shall establish a written method and procedure for considering an
the client under Clause 17. Clause 20 In considering an application for opening a derivatives trading account, the derivatives broker shall establish a written method and procedure for considering an
Collective Investment Scheme and Conditions after Approval __________________ Chapter 1 Procedure for Submission of Application __________________ 5 Clause 10 The applicant submitting an application for