collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
fund shall not invest in other funds under the same management company (cascade investment); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D
securities or other assets as payment in lieu of cash. The conditions and procedures must be clearly specified in the scheme. (4.3) Retirement fund (RMF) shall be an open-end fund only. (5) Increasing the
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified