revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as

shall be observed. Clause 15/2. When investing in real estate or leasehold right after the initial investment with related person under Clause 20(1)(a)(b)(c)(d)(e)(f)(g), the mutual fund management

explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on

use to provide service and store document; (2) arrange to have a notice board, which can clearly be seen, indicating the nature of services to be provided on the area under (1). Clause 9. The branch

paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause 12. During the period of thirty days from the offering

size than the regular font used in such article or research paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause

company, clarify why such practice is employed instead of direct shareholding by the Company; (3) In case of several connected transactions, each with little value, grouping such transactions as seen

days, and shall complete the liquidation within one hundred and fifty days from the date of dissolution, except in case of necessity where the registrar may allow extension thereof as seen fit. Section

Assessment Project. The information in this matter may be disclosed herein or under other topics as seen appropriate such as the Management Structure, Internal Control and Risk Management, etc. 12. Corporate

shall arrange any statement, caution or information for an advertisement clearly heard or obviously seen, and suitable for presented form. In addition, the intermediary shall attend the importance of