-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
redemption as specified by the mutual fund management company and disclosed in the scheme: (1) An individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding 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
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
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