/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This step ensures that the measure to be taken is appropriate, practical and respectful to
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
management company shall take the following actions: (1) Notify the SEC and the unitholders about the cause of the decrease in the asset values within three business days and about action plans to be taken
management company shall take the following actions: (1) Notify the SEC and the unitholders about the cause of the decrease in the asset values within three business days and about action plans to be taken
the SEC could refuse to accept the application; Having passed the test of competence or taken professional course prescribed (if any). Registration with the institute of appraisal profession It shall be
outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding one-third of the total sold units of the mutual fund for longer
outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding one-third of the total sold units of the mutual fund for longer
. ( 6 ) A ny other conditions as approved by the SEC and such classification is practical and for the interest of the unitholders in general, as well as taken into consideration the potential impact on
. ( 6 ) A ny other conditions as approved by the SEC and such classification is practical and for the interest of the unitholders in general, as well as taken into consideration the potential impact on
financial position and repayment capability of the issuers when they make an investment decision. The credit rating of the issuers will be taken into consideration along with the disclosure of financial