instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a training institute or having completed the courses that are approved by the Office; (4) Being
age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a training institute or having completed the courses that are approved by the Office; (4) Being
examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3
; □ (2) Copy of the memorandum summarizing the examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking
12/2558 03/04/2015 01/06/2015 7. Notification of the Office of the Securities and Exchange Commission SorNor. 1/2554 Examination and Disclosure of List of Foreign ETF Units and Application for
: Detail Content Management of Mutual Fund 22. Additional rules for a retirement mutual fund (RMF) 22.1 RMFs of all types (1) The mutual fund management company shall establish a system for examination of
: Detail Content Management of Mutual Fund 22. Additional rules for a retirement mutual fund (RMF) 22.1 RMFs of all types (1) The mutual fund management company shall establish a system for examination of