Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
regulated person who is disqualified or fails to comply with professional conducts and standards. Such regulated person are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and
e-service Online Submission Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Type Title Section See document Status Notified Date Effective Date 1
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund
information about investment of a fund. Clause 4 A person who may be appointed by an investment management company as a fund manager shall meet the following requirements: (1) not being a director, executive
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause 2. In
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause