Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial
pertaining to rules for approval of offer for sale of units of the trust within five years before submitting the application Obtaining approval from the SEC, thereby in readiness of work systems and personnel
three years preceding the year of filing application toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial business, both
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. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents
experience in asset appraisal; Having a total number of the appraisers not less than 5 persons. In this regard, at least 2 persons shall be lead appraisers obtaining approval from the SEC; Not appearing that