fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
fund to be amalgamated/merged; 4.3 Changes resulting from the amalgamation/merger; 4.4 Procedures, detailed steps, and duration of the process; 4.5 Rights of the unitholders; 4.6 Report on projected
fund to be amalgamated/merged; 4.3 Changes resulting from the amalgamation/merger; 4.4 Procedures, detailed steps, and duration of the process; 4.5 Rights of the unitholders; 4.6 Report on projected
mutual fund is in a transition period for another management company to take over. The transition period shall not be longer than three business days. (6) The mutual fund is in the process of dissolution
mutual fund is in a transition period for another management company to take over. The transition period shall not be longer than three business days. (6) The mutual fund is in the process of dissolution
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
Handbooks / Best Practices SHARE : Detail Content Fund Raising FORM 56-1 : Annual Registration Statement Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations
Persons > Fund Manager > Regulatory Summary Regulations SHARE : Detail Content Fund Manager / Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a