business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
application for an approval to the Office to amend mutual fund management scheme to comply with the provision of this notification after registered as a mutual fund to the Office, but not exceed one year as
) the Government Pension Fund; (11) provident funds; (12) mutual funds; (13) juristic persons whose audited financial statement of the recent year demonstrate a capital investment exceeds one hundred
be in accordance with the rules specified in the notification of the SEC. Chapter 2 Creation of Trust ______________ Division 1 Trust Instrument _____________ SECTION 11 A trust is created when a
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a
statements for such accounting period upon dissolution date of the mutual fund on that one occasion for a period of longer than twelve months but no longer than fifteen months. Clause 6 In managing a fund
information for consideration. The provisions in paragraph one hereof shall not apply to the management of a private fund, of which investment policy is standardized as specified in the notification of the
competitors, competitiveness and potential, the names of the competitors (not required unless there is only one or a few competitors being market leaders), market trends and competitive forecast. 2.2.3
Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material