requirements of Section 6 have been properly and fully complied with, and the fund’s articles are properly in accordance with Section 9 and are not in violation of law or the fund’s objectives, the registrar
compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and
center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other information obtained in the performance of duties
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having
_____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have
, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order
any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such
any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such
has a material issue on violation of laws or regulations in the environmental area, or is under the accusation of causing a negative impact on the environmental issue, especially the issue appearing in