according to the investor’s orders. She also counterfeited the investor’s signature to apply for an ATM card for the banking account the investor had opened for the purpose of accepting redemption money
bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
providing trading service for units of foreign collective investment scheme, securities company shall comply with the following requirements: (1) accepting trading order during business hours and on business
investment advice and providing service relating to trading investment units, mutatis mutandis, unless there is any provision in this Notification especially. Clause 7 Prior to accepting to be an agent for
investment advice and providing service relating to trading investment units, mutatis mutandis, unless there is any provision in this Notification especially. Clause 7 Prior to accepting to be an agent for
Sale of Units of Foreign Collective Investment Scheme. Clause 7 Prior to accepting to be a selling agent of units of foreign collective investment scheme, a securities company shall arrange to have a
except for the following cases : (1) The Stock Exchange / the over-the-counter centers are unable to open for normal business; (2) Under one of the following circumstances, and approved by the mutual
. (2) In the case that the number of unitholders of a retail fund is less than 35 on any business day. 19.1.2 Open-end mutual fund (1) The number of the unitholders is less than the specified limit as