two parts. The first part prescribes the Qualifications of the CIS Operator, Trustee/Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matter. The second part prescribes
, Trustee/Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matter. The second part prescribes the Product Restrictions of Qualifying CIS. To view: Part I : Qualifications of
likely to be dishonest; (9) made any material false statement or acted knowingly to conceal any material which should have been expressly disclosed [in order to make such statement not misleading], in
and managing negative impact on the environment from all aspects of the company’s operations, including in the context of raw material use, energy use, water use, renewable resources use, rehabilitating
) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC
effective date of the previously submitted registration statement, either Form 69 – CIS full or Form 69 – CIS annually update , as the case may be. In the case where there is a material change to the
may be. In the case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the CIS
may be. In the case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the CIS
. Such disclosure of information is a driver of self-discipline and encourages issuers to pay more attention to matters subject to the disclosure rules. · The SEC monitors and supervises material
. Such disclosure of information is a driver of self-discipline and encourages issuers to pay more attention to matters subject to the disclosure rules. · The SEC monitors and supervises material