/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
a report on investment in the investment units for the unitholders who redeem the units according to the rules and procedures set out by the AIMC. (4) In the case of transferring units among the RMFs
a report on investment in the investment units for the unitholders who redeem the units according to the rules and procedures set out by the AIMC. (4) In the case of transferring units among the RMFs
disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are beyond the control of the mutual fund management company. The postponement can be made for no
disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are beyond the control of the mutual fund management company. The postponement can be made for no
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