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
to the SEC Office. 7. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense concerning property by a relevant agency
securities issuing companies. 4. The controlling persons shall not have any of the untrustworthy characteristics. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal