with a client that is a provident fund or the Government Pension Fund; (5) In the case of a margin loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
, 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
specified by the Civil Sanction Committee, such offender must sign a letter of consent. After the offender has made a payment of pecuniary sanction in full, the right to institute a criminal prosecution shall
units over One-Third Limit 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1
redemption of investment units 2. Multi-class 3. Changing on type of asset class and investment limit in consistent with investment policy 4. Calculation and announcement of net asset values (NAV