management company may request the SEC's approval for extending the time for completing the corrective action according to (1). In submitting the request, the mutual fund management company shall obtain
management company may request the SEC's approval for extending the time for completing the corrective action according to (1). In submitting the request, the mutual fund management company shall obtain
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and Section 244/2) Group 3: Securities Price Manipulation
situations, e.g., dividend payment and right offering of capital shares. Q: In case the meeting forms a quorum but must be postponed after continuing beyond expected without completing the consideration of
cumulative term of nine years from the first day of service. Upon completing nine years, an independent director may continue to serve on the board, subject to the board’s rigorous review of his/her continued