. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
conflict of interest must not do business which is in competition with the company. There must be no related party transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
same investment units class are reasonably equally determined. (Classifying investment units by asset types is prohibited.) The classification of the investment units shall be based on the following
same investment units class are reasonably equally determined. (Classifying investment units by asset types is prohibited.) The classification of the investment units shall be based on the following
: Fairness of pricing and other consideration determined by comparing various types of calculation methods; Suitability of the conditions of transactions. Expressing views to the shareholders if they should
: Fairness of pricing and other consideration determined by comparing various types of calculation methods; Suitability of the conditions of transactions. Expressing views to the shareholders if they should