) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
Minister’s approval under Clause 6, the approved person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund
value, and investment unit value of IFF on quarterly basis; Financial statement-quarterly and annually; Annual report; Project progress report, in case of IFFs' investment in greenfield project- semi
person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund management as approved, and the newly established
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
contain a corrective measure. / X X The votes of the excess units over one-third shall not be counted * / / / Pay dividend in the total amount X / / Correct the proportion within two months