responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
company certificate, the SEC has urged them to arrange a shareholders’ meeting at once and to observe relevant laws and regulations. Citing the IFEC board of directors’ resolutions on 23 May 2018 which
securities and exchange. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency
governing securities and exchange. “Office of the SEC” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “competent officer” means a person appointed
. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency Decree. Section 4. The
Exchange Commission under the Securities and Exchange Act. “SEC Office” means the Office of the Securities and Exchange Commission under the Securities and Exchange Act. “competent official” means any person
Securities and Exchange Act. “competent officer” means any person appointed by the Minister to perform duties under this Act. “Minister” means the Minister in charge of this Act. SECTION 4 A trust may be
Act. “competent official” means any person appointed by the Minister to perform duties under this Act. “Minister” means the Minister in charge of this Act. SECTION 4 A trust may be created for the
instruments for competent businesses. Notably, the Emergency Decree also aims to protect investors by facilitating more precise and adequate disclosure of information for investment decision making, reducing
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know