finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
of disseminating or distributing documents or advertisements produced by the securities company. Clause 18. In cases where it appears to the Office that the securities company fails to comply with the
distributing documents or advertisements produced by the securities company. Clause 14. In cases where it appears to the Office that the securities company fails to comply with the advertising rules prescribed
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the
information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including
company shall also comply as follows: (1) distributing an investment advisory service handbook which is prepared in accordance with Clause 16 to the customer prior to giving the first advice, however, there
giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the
that there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and