Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules for a retirement
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
Register of Members Investment Limit Investment Powers Conflict of Interest Unitization Borrowing from fund asset Report/Financial Statement Auditors Procedure for the default by Issuer Registrar
Collective Investment Scheme and Conditions after Approval __________________ Chapter 1 Procedure for Submission of Application __________________ 5 Clause 10 The applicant submitting an application for
several areas; for example, audit manuals and audit programs involving methods of sampling and substantive analytical procedure for the audits of revenues were tailored to be more situation appropriate
or search under the Criminal Procedure Code. In the case under subsection (3), the search warrant is required unless there is a reasonable ground to believe that by the time the search warrant is
subsection (1) or (2), the competent official shall not take any act in the nature of a threat or search under the Criminal Procedure Code. In the case under subsection (3), the search warrant is required