latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
of rules governing business conduct of licensed derivatives brokers, custody and record keeping of assets of clients and use of assets of clients for seeking benefits is under the authority of the
mutual fund management scheme must be sufficiently intelligible to investors in respect of investment policy, securities or assets or contracts in which the mutual fund intends to invest, the liquidity of
capital ” means liquid capital deducted by risk haircuts ; (3) “ liquid capital ” means liquid assets deducted by total liabilities ; (4) “ liquid assets ” means the total sum of the following assets: (a
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
Office may extend the period of time specified in the first paragraph. Clause 5. The liquidator shall have powers and duties as follows: (1) collecting and receiving assets of the mutual fund or assets
September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
to the SEC Office in accordance with the reporting plan specified in Clause 4(2)(d); (6) arrange a system for custody of the client’s assets under custody or management. In case of providing services