) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
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
the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the
supervisor of investment advisory company responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund supervisor fails to correct the qualifications within a specified period. (2) Calculation and announcement of net
shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the