must not exceed the maximum limits specified in the scheme and the prospectus of the offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may
working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are regarded as “executives". Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial
throughout the term of the bonds. 4.3 There is no ground to suspect that the lead regulator of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC
the country wherein the issuer is established is unable to provide an assistance to the SEC Office. 7. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
equivalent to the fourth rank]" by more than one tier, all higher-level-positions in the same hierarchy pillar must be considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are
/ employee. If securities are allocated to directors, it must state the eligibility criteria for ESOP / maximum number for each person. Allocation to directors / staff must be at a price and conditions not