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
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
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
related to or because of one's own securities trading; or 7. Transferring or receiving a transfer of securities between each other. G roup 4: Other related cases 4.1 Placing, modifying or cancellation a
related to or because of one's own securities trading; or 7. Transferring or receiving a transfer of securities between each other. G roup 4: Other related cases 4.1 Placing, modifying or cancellation a
schedule. The fund supervisor recognizes that the events prevent the company from reasonably disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are
schedule. The fund supervisor recognizes that the events prevent the company from reasonably disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are
. Transactions with the trustee A trustee shall not perform any actions against the interests of the REITs, nor actions which will cause the trustee to lose independence except for the following: being