determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
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
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
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
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