for normal business; (2) Under one of the following circumstances, and approved by the mutual fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
inspection prior t o approval. (2) Normal: auditors who do not meet the Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
contract in a different manner from their normal practice while know or possessing inside information (Section 244) (1) Holder of securities exceeding five percent of the securities issuing company's