Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
redemption as specified by the mutual fund management company and disclosed in the scheme: (1) An individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of
redemption as specified by the mutual fund management company and disclosed in the scheme: (1) An individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
and ending dates in performing the duties, and a list of fund managers. (3) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and
capital (calculation based on the par value); 3) Offering for sale at the price of the fund's NAV on the sale date. (2) Open-end mutual fund: 1) The increases shall be clearly specified in the scheme
and ending dates in performing the duties, and a list of fund managers. (3) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and