of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for

of the former mutual funds or the transferred mutual funds who vote to merge or amalgamate the funds and the unitholders who intend to convert the investment units of such funds into the investment

specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed in the register of person qualified

the Office. If such person fails to comply or proceed as specified, the Office shall deem that such person does not intend to apply for approval for investor contact. Clause 7/1. The approval for

evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed

liquidity of management company; (2) Investing in instruments having the time to maturity less than one year in which management company intend to hold them until the maturity; (3) Investing in investment

, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

representative office abroad .................................................................................................................................................... 3.2 Having a work plan for

undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units