(Translation) - 4 - person and such transaction is in the manner of unfair treatment to the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management
company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to
, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
and their securities which may have a material effect on the price of an Investee Company’s securities. 1.3.4 Prevention of unfair securities trading practices in violation of applicable laws and
related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities
shareholders’ rights, unfair treatment toward shareholders or disclosure of information to shareholders and general investors; (2) having any of the following characteristics within one year prior to the filing
not be complicated or costly for shareholders, and the meeting location to be easy to reach. 1.4 The board should allow shareholders to send their questions to the company prior to the 63Section 1
, the audit firms should always consider fundamental factors, such as audit partner’s capabilities and experiences. During the 2015 audit inspection, the SEC found that complicated audit engagements of
. Furthermore, the scope of the law was broadened, such as, placing offences against tippees acting on insider information and toughening penalties for those committing unfair practices. Apart from laws and