within five business days as from the dissolution date of the mutual fund; (2) deliver to the liquidator financial statements, as of the dissolution date of the mutual fund, which are audited and given
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
company fail to effect such amendment within the specified time, the Office may order dissolution of such mutual fund. Clause 22. In the event that the management company has been granted approval for
; (8) the provisions regarding the rules, procedures and period of time for the payment upon termination of an employee’s membership or upon dissolution of the fund pursuant to Section 25; (9) the
of time thereby the payment upon termination of employee’s membership or dissolution of the fund pursuant to Section 25 shall be prescribed, without unreasonable grounds for eliminating the employee’s
units of the new mutual fund or the mutual fund which accepts the transfer of assets. Clause 3. All notifications of the Office of the Securities and Exchange Commission, orders and circular letters
The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
Covered Fund in Hong Kong satisfied those stipulated in Appendix B-II-SEC Circular of the Memorandum of Understanding between the Securities and Futures Commission of Hong Kong and the Securities and
following details: (1) objectives, rights, duties and responsibilities among the founding members; (2) causes for dissolution of the securities trading center which shall include at least the following cases