involves in or has an interest, whether directly or indirectly, in such mutual fund or management company in a manner that may cause unfair, non-impartial and non-independent in arranging the mutual fund
- 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 perform
(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
, 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
) having been adjudged by the final judgment for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception, defraudation or corruption, or
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