Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
potential shareholding. For Example: Ensuring full and fair information disclosure so that investors have sufficient information for making investment decisions; Enhancing corporate governance of listed
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial
Reporting and Audit Oversight Regulations SHARE : Detail Content Financial reporting and audit oversight Overview of enhancing quality of financial information Financial report is essential
. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents
experience in asset appraisal; Having a total number of the appraisers not less than 5 persons. In this regard, at least 2 persons shall be lead appraisers obtaining approval from the SEC; Not appearing that
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified
obtaining the Minister’s approval in form and together with supplementary documents specified in the SEC’s Notification as published in the Government Gazette. Where the approved person fails to establish