management company shall pay for the redemption of the investment units in the form of securities or other assets instead of cash to high net-worth investors only. (2) Dissolution of funds in the case of the
investment units of mutual fund; 2) Redemption payment in the form of securities or other assets in lieu of cash (Pay in Kind); 3) Incorrect pricing of the investment units; 4) Fees or expenses imposed on the
; 2) The debt instrument or claim shall not be included when calculating the fund's NAV. 15.2 Procedure for handling assets as debt repayment 1) Set-aside: the mutual fund management company shall
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
liquidity assets. 8.6 R edemption payment in the form of securities or other assets in lieu of cash (Pay in Kind) when : (1) The conditions and procedures for such payment are clearly specified in the
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC