rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and referable source; (2

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

to the expiration of the approval term. Hours of participation will be accumulated as follows: Training or Seminar Lecturer Full-time Lecturer or Guest Lecturer Minimum hours of participation in the

this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the

indicated the net value after deducting accumulated depreciation. 10. Intangible assets means non-cash assets which is identifiable but intangible, being held by the company for producing or selling products

of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of

private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company

. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

responsibilities of the management company (2) Types, rates and procedure for collecting of fee, other remuneration or expenses for management of the private fund. In case where the fee is collected according to the