will notify the results within 90 days after receiving the application and a complete set of the required documents. (2) Applying for automatic approval The mutual fund management company shall submit
will notify the results within 90 days after receiving the application and a complete set of the required documents. (2) Applying for automatic approval The mutual fund management company shall submit
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
) (1) A mutual fund having the investment policy in money market funds which specify constant offering and repurchase prices all the time, or MMF constant NAV, shall not file for automatic approval of
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
constant offering and repurchase prices all the time, or MMF constant NAV, shall not file for automatic approval of the fund establishment. (2) The calculation for the number of investment units (2.1) Fix
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on