extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors, b) inspecting audit works performed by the applicant
individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors
the outstanding investment units is to promote the more extensive distribution of investment units. The investment units shall not be concentrated in the holding of any individuals or any groups of
the outstanding investment units is to promote the more extensive distribution of investment units. The investment units shall not be concentrated in the holding of any individuals or any groups of
. Save and Close × Home > Laws/Regulations > Regulations > Prevention of Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE
. Save and Close × Home > Laws/Regulations > Regulations > Prevention of Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
) Calculate offering and redemption prices of the investment units at the end of every trading day. (3) Announce the NAV and investment unit values: (3.1) As of the closing date of the unitholders register
) Calculate offering and redemption prices of the investment units at the end of every trading day. (3) Announce the NAV and investment unit values: (3.1) As of the closing date of the unitholders register
: Detail Content SEC Help Center Samples of Documents or Evidence Sample of Complaints Samples of Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant