PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 19/02/2018 - 27/02/2018
intermediary, who will conduct KYC and Suitability tests in order to protect investors.4. Funds investing in shares of SMEs and startups will be established. These funds will be administered and
imposes the sanction. The SEC Board imposes the sanction. End This is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a
national economy. At present, there are six legislations administered by the SEC, namely: the Securities and Exchange Act of 1992 ; the Derivatives Act of 2003 ; the Trust for Transactions in Capital Market
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
Administrative Order Issuance is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a regulated person who is disqualified or fails
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
person qualified to be fund manager shall attend the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an
managed by a Covered Management Company, authorised, approved, seeking authorisation, or seeking approval on a cross-border basis in accordance with Paragraph 3 of this MoU. (e) “Covered Management Company