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. Save and Close × Home > Laws/Regulations > Regulations > Mutual Fund > Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content
oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and certifying financial statements of entities whose securities are publicly traded in
Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and certifying financial
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
and from overseas ; (4.3) An event that prevents the mutual fund from receiving payments from the invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund
conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the mutual fund management company, the designated employee must hold a position which will not cause
conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the mutual fund management company, the designated employee must hold a position which will not cause
securities company shall allow any person to have control over its administration or management except for exercise of shareholder’s right in shareholder meeting or management under agreement approved by the
resulting from the amalgamation/merger; 4.4 Procedures, detailed steps, and duration of the process; 4.5 Rights of the unitholders; 4.6 Report on projected financial position of the mutual fund to be