issued for document filing with another official agency may be used for this purpose. Q: How many prior years of documents must be kept at the storage location? A: Five or since the date of listing on
issued for document filing with another official agency may be used for this purpose. Q: How many prior years of documents must be kept at the storage location? A: Five or since the date of listing on
the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights in investment units with necessary and sufficient information. Filing an application Methods in
the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights in investment units with necessary and sufficient information. Filing an application Methods in
, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC
, prudence and care in carrying out the tasks professionally; Upholding professional code of ethics; Preparing working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important information which might affect the qualifications of the company is concealed
of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC Office. 5. No record of breaches of regulations and laws (i.e. being currently