; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
securities company shall allow any person to have control over its administration or management except for exercise of shareholder’s right in shareholder meeting or management under agreement approved by the
the public, as the case may be Must comply with criteria for protection of shareholders (notice calling letter, resolution of the shareholders' meeting, right to veto) Definition of a market price can
conditions will be simple which only require the decision of the shareholders' meeting, without having to clearly state that the shares are allocated to directors, employee) Securities: Shares Convertible
Fund > Management of Mutual Fund > Exercise of voting rights in a shareholders’ meeting Regulations SHARE : Detail Content Management of Mutual Fund 16. Exercise of voting rights in a shareholders
Fund > Management of Mutual Fund > Exercise of voting rights in a shareholders’ meeting Regulations SHARE : Detail Content Management of Mutual Fund 16. Exercise of voting rights in a shareholders
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
Forms 56-1 and 69-1 Handbook on the Directors and Executives Database Guideline for Disclosure of Information in Invitation Letters to Shareholders' Meeting of Listed Companies to Obtain Approval for
request approval or filing, but it must comply with the conditions for authorizing PP, such as: Having received an explicit resolution of the shareholders' meeting to approve the offering and such