Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes; (c) investment units of a mutual fund of which the returns calculation is made in a complicated way
together with the application of approval as the principle valuers by December 31, 2014. For principle valuers already approved by the SEC and intend to apply for renewal, the valuation service providers
manager, such listed person shall act in accordance with the following rules: (1) submit to the Office a renewal application at least thirty days prior to the expiry date of the approval in the form and
in the register of person qualified to be property fund manager, such listed person shall act in accordance with the following rules: (1) submit to the Office a renewal application at least thirty days
Examination not required but must complete a full course or a refresher course for renewal of approval. 6 Examination not required but must complete a full course or a refresher course for renewal of approval
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic
supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
selling agent of unit-linked life insurance policy shall be investor contact who performs duty of selling unit-linked life insurance policy approved by the Office Chapter 2 Renewal for Approval