), and three years ( for foreign issuing companies) from the effective date of the filing; (A) the issuers change the operation significantly ; (B) the issuers use the proceeds from the sale of
), and three years ( for foreign issuing companies) from the effective date of the filing; (A) the issuers change the operation significantly ; (B) the issuers use the proceeds from the sale of
finance business under Clause 1 means undertaking of business with core objective to provide credit facility for securities business. Clause 3 This Notification shall come into force on the date
Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
their investment objective, investment experiences, financial status, financial obligations, investment requirements, and restrictions. 1.2 The agreement for the management of a private fund or provident
investor protection, the SEC is empowered with rights to order the mutual fund management company to take any action or to refrain from any action, in following cases: (1) The actual objective or substance
their investment objective, investment experiences, financial status, financial obligations, investment requirements, and restrictions. 1.2 The agreement for the management of a private fund or provident
case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the CIS Operator is required
effective date of the previously submitted registration statement, either Form 69 – CIS full or Form 69 – CIS annually update , as the case may be. In the case where there is a material change to the