. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
and offering of shares Request for approval Disclosure of information Subscription/ sale and allocation Post-offering duties Request for Approval Directors, executives and majority shareholders do not
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
disclosed in the filing. The buyers of the units shall settle unit subscription in cash or cash-equivalence. The number of units allocated to any persons or a group of the associated persons shall not be over
(Inspection of the director and executive's qualification on the company's request) (Form 35-E2) Letter of Request for Checking the Qualifications of Director and Executive (Inspection of the director and
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
request approval or filing, but it must comply with the conditions for authorizing PP, such as: Having received an explicit resolution of the shareholders' meeting to approve the offering and such
unitholders of each fund. (3) In requesting for resolution, the asset management company is required to : 3.1) Specify details of the new scheme and commitment; 3.2) Request a resolution of the unitholders