member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
must not exceed the maximum limits specified in the scheme and the prospectus of the offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may
must not exceed the maximum limits specified in the scheme and the prospectus of the offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
/ employee. If securities are allocated to directors, it must state the eligibility criteria for ESOP / maximum number for each person. Allocation to directors / staff must be at a price and conditions not
(MMF) may make a redemption payment on the same day the redemption order is submitted. The redemption amount is subject to the maximum limits of investment units that each unitholder can make a
(MMF) may make a redemption payment on the same day the redemption order is submitted. The redemption amount is subject to the maximum limits of investment units that each unitholder can make a