Sale of Units of Foreign Collective Investment Scheme. Clause 7 Prior to accepting to be a selling agent of units of foreign collective investment scheme, a securities company shall arrange to have a
repurchased. 8.3 The mutual fund management company shall accept all purchase or the redemption orders except for the following cases : (1) The Stock Exchange / the over-the-counter centers are unable to open
repurchased. 8.3 The mutual fund management company shall accept all purchase or the redemption orders except for the following cases : (1) The Stock Exchange / the over-the-counter centers are unable to open
deficiencies in those elements. - Conduct proper resource planning prior to accepting the engagement to ensure that the human resource to deliver quality audit would suffice. - The firm’s leaders constantly
the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
units by accepting assets as a redemption under the requirement of such ETF. “management company” means a securities company licensed to undertake securities business in the category of mutual fund
) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a redemption under the requirement of such ETF. “management company” means