nature and in competition with the company and the subsidiary, or holding more than one percent of the voting shares, or being a managing director, employee, staff, advisor with a regular monthly salary
sponsors T he Chief Executive Officer or the Managing Director (CEO or MD) must make a list of sponsors pursuant to the decision of the board of directors, with the characteristics of each sponsor. The
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
price is discounted from the market price) 2. Agenda of the meeting : request for approval of each director / staff 3. the shareholders' resolution: three-fourths of the total voting rights + not more
affixed the signature by the following persons: Any director who is authorized to affix his signature on behalf of the appraisal company in capital market; The lead appraiser approved who is an employee or
theSEC's website. Signatures of audit firm's leader and authorized director are required. Photocopy of the applicant's passport. Signature of the applicant to certify true copy is required. Photocopy of an
and authorized director are required. Photocopy of the applicant's passport. Signature of the applicant to certify true copy is required. Photocopy of an evidence of certified public accountant
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information