directors or employee compliance with ESOP rules will be exempted only when: It is decided at the same shareholders' meeting that approves RO that the remaining securities will be allocated to directors
mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The financial reports must be audited and given opinions by the auditors who has been approved by
fund 4.1 A mutual fund management company shall prepare the financial statements of the mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The
of the period. Annual Reports Audited Financial Statement (Form Bor.Lor. 1 and Bor.Lor. 1.1) To be filed within 21 days from the date approved by shareholder meeting, but not more than four months
does not affect the performance of duties and the giving of independent opinions, and that the following information has also been disclosed in the notice calling the shareholders' meeting. Not being a
process of the regulatory framework is completed. In addition to meeting the required minimum paid-up capital, the intermediaries are also subject to maintaining on-going capital requirement (Net Capital
beyond the control of the mutual fund management company. The postponement can be made for no longer than ten business days, except that the SEC grants a waiver of compliance. 8.5 A Money Market Fund
50% of the units sold. Information disclosure and advertisement Compliance with the requirements on information disclosure set out in the registration statement for offer for sale of REIT units (Form
the public, as the case may be Must comply with criteria for protection of shareholders (notice calling letter, resolution of the shareholders' meeting, right to veto) Definition of a market price can