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
offering, the mutual fund management company may offer for sale of the investment units in an amount exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in
offering, the mutual fund management company may offer for sale of the investment units in an amount exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in
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of holding more than one-third of total outstanding units over one year) 4. Procedures for holding investment units over One-Third Limit 1. Limitations on unitholding over one-third of the total
of holding more than one-third of total outstanding units over one year) 4. Procedures for holding investment units over One-Third Limit 1. Limitations on unitholding over one-third of the total
the latest inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm's internal monitoring
inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm's internal monitoring Signature of the
investment limit in consistent with investment policy 4. Calculation and announcement of net asset values (NAV), investment units values, offering price and redemption price (3) Amendments to the scheme
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter