Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of liquidity assets. 8.6 R edemption payment in the form of securities or other assets in lieu of cash
individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of liquidity assets. 8.6 R edemption payment in the form of securities or other assets in lieu of cash
Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and announcement of the NAV and investment unit values of closed-end funds (5) Calculation and
the IPO; 2) The increases shall not make the total investment unit value exceed the registered scheme capital (calculation based on the par value); 3) Offering for sale at the price of the fund's
) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and announcement of the NAV and investment unit values of closed-end funds (5) Calculation and
the IPO; 2) The increases shall not make the total investment unit value exceed the registered scheme capital (calculation based on the par value); 3) Offering for sale at the price of the fund's