proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under Paragraph 1 shall not be applicable to the case
appropriately. The provision under Paragraph 1 shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. 6 Amended by the Notification of the Capital
receives from selling units and is registered with the SEC Office; (17/1)8 “auditor” means a certified public accountant who has obtained an approval from the SEC Office; (18) “association” means an
” means the amount of money which a management company receives from selling units and is registered with the SEC Office; (17/1)8 “ auditor ” means a certified public accountant who has obtained an approval
the person acts or has acted in a manner indicating malfeasance in the operation or provision of services which requires honesty and fairness in respect of financial advisory service, securities
value into a correct unit value by the day the fund supervisor has certified the information in the retrospective value correction report. (3) Announce name(s) of mutual fund(s) which makes a value
) 3 (2) Rectify the incorrect unit value into a correct unit value by the day the fund supervisor has certified the information in the retrospective value correction report. (3) Announce name(s) of
. (Translation) 3 (2) Rectify the incorrect unit value into a correct unit value by the day the fund supervisor has certified the information in the retrospective value correction report. (3) Announce name(s) of
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association