or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under
three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph
obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact
proceeding. Under the first paragraph “investor contact” means a derivatives investor contact according to the notification of the Office of the Securities and Exchange Commission governing an approval for
be conducted justifiably, the liquidator, the management company, and the fund supervisor shall together determine an appropriate proceeding for such assets by taking into account the mutual fund’s
made under the requirements of the repurchase transaction. In proceeding to comply with Paragraph 1, derivatives broker shall clearly specify in such deposit account or investment that the undertaking by
proceeding to comply with Paragraph 1, derivatives broker shall clearly specify in such deposit account or investment that the undertaking by derivatives broker is for client's benefit. In the case where the