monitor the effectiveness of the company’s risk management. 6.1.7 The board has to ensure and monitor that the company complies with relevant and applicable law and standards, whether domestic
account, pay-in slip, transfer-deposit-withdrawal slips, statement report, solicitation documents/contracts, and a certified copy of personal checks and other evidence relevant to and useful for the SEC
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
shareholders, for example, the right to buy, sell or transfer shares, the right to obtain correct and adequate information, the right to receive dividends, the voting right at shareholders’ meetings, the right
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the