Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
by considering investor’s investment objective, financial situation and particular needs • soliciting for sales of capital market products 2 ACMF Pass framework 3 Professional Home country Home
professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data ISBN 978-1-907387-13-5 © International Corporate Governance Network 2 ICGN Guidance
investors by considering investor’s investment objective, financial situation and particular needs; and (ii) soliciting for sales of the capital market products set out in item 3.2.1(1). Example 3 Type of
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
investment in PVD with additional choice for their retirement savings. In addition, equivalent tax benefits for PVD will apply to the transferred amount, if the specified conditions have been satisfied. The
recognized by the SEC and have been listed on the main boards of such exchanges at least for one year, they will be deemed to have been satisfied the criteria comparable to those of the SEC. The revision aims
authorities. In particular, new emphasis is placed on the quality of supervision and enforcement. The chapter also includes a new principle on the role of stock markets in supporting good corporate governance
appeal? The SEC Office reconsider- action Revoke or amend the order Administrative Court The SEC Board consideration Is the appellant satisfied? The SEC Office imposes the sanction. Administrative Panel