Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
management’s handling of financial risk or difficulties and seek regular reports. 7.3.3 The board should ensure that any actions to improve the company’s financial position are reasonable and made for a proper
) Where the number of unitholders at the closing of the registrar is less than 35 and the mutual fund management company does not want to dissolve the fund, the company is allowed to amend the situation