invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
, applicable to all directors, executives, employees and staff of the company. 1.2.4 The board should ensure effective implementation including regular communication of the company’s policies and guidelines to
, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
documents via the SEC website. The required documents are details of the mutual fund scheme, a draft of prospectus, a draft of commitment and a draft of contract on the appointment of fund supervisor. The SEC
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a