benefit the remaining unitholders, the mutual fund management company should exercise its discretion in deciding whether to dissolve the fund. The calculation method in the case of investment units
emerged from the public, whether an ICO can be done legally, particularly whether it falls under the SEC’s regulations. Figure 1: ICOs that fall under the SEC’s purview 1.4 In cases where an ICO constitutes
ordinary course of business, gives advice to others, or holds himself out to the general public as being ready to give advice to others, whether directly or indirectly, concerning derivatives or 3
rotation, and set up the monitoring activities of the database, to ensure that the auditor rotation plan is coherent with the Code of Ethics for Professional Accountants and the firm’s policy. If the
December 2018 demonstrates that the audit firm with four or less auditors in the capital market accounted for 39 percent, as shown in figure 6. The ramification is that if auditors associated with those
3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service branch office for the
Exchange Commission. Clause 3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service
retail investors brings up the issue of whether a cognitive bias is influencing their decision. • One possible explanation could be based on a misconception that at threshold prices, an up-move of one tick