manager violates or fails to comply with the laws, notifications or professional ethics relating to mutual fund management, the Office shall have the power to take the following actions; (1) Warning; (2
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind the protection
business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client
/suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering
in securities business or violates or fails to comply with Clause 10, the Office shall take actions against such person following the rules and procedures prescribed by the Notification of the
characteristics of personnel in securities business or violates or fails to comply with Clause 10, the Office shall take actions against such person following the rules and procedures prescribed by the Notification