managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
companies to comply: (1) Sale or redemption of investment units of a mutual fund, increase or reduction of investment units of a mutual fund or fund units of a provident fund, payments for redemption of
, conditions, and procedures for the following matters for compliance by management companies : (1) the sale and redemption of investment units of mutual funds , the increase or reduction of investment units of
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
arising from or related to its use. (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are instruments or evidence representing the rights to the property of a
in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
business related to investment. Clause 2 This Notification shall apply to: (1) the application for approval and the approval for establishment of funds ; (2) the allotment and the offer for sale of the units
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity