nature and in competition with the company and the subsidiary, or holding more than one percent of the voting shares, or being a managing director, employee, staff, advisor with a regular monthly salary
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
sponsors T he Chief Executive Officer or the Managing Director (CEO or MD) must make a list of sponsors pursuant to the decision of the board of directors, with the characteristics of each sponsor. The
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
shareholder in accordance with the form specified by the SEC Office as follows: (1) in case where any person would be major shareholder because company increased its capital, securities company shall file an
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section