Sale of Investment Units Summary of regulations The initial public offering (IPO) period shall not be less than 2 days. Allocation of the investment units to the investors shall be appropriate and
/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This step ensures that the measure to be taken is appropriate, practical and respectful to
Sale of Investment Units Summary of regulations The initial public offering (IPO) period shall not be less than 2 days. Allocation of the investment units to the investors shall be appropriate and
approval for the imposition of civil sanction, the Civil Sanction Committee has the duty to consider and determine an appropriate civil sanction to be imposed on the offender. There are five types of civil
consideration of the case except when it is necessary and appropriate for the SEC to take a prompt action to prevent severe damage or a negative impact on public interest, or when a chance to clarify cannot be
Presentation Standards ). 3.3 Where necessary and appropriate, the SEC is empowered to instruct the company to act additionally or differently from the operating standard prescribed by AIMC. Authority of
system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate method and with sufficient details of the practice and the course of actions in exercising of voting
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of
Presentation Standards ). 3.3 Where necessary and appropriate, the SEC is empowered to instruct the company to act additionally or differently from the operating standard prescribed by AIMC. Authority of
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of