Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
Operators > Asset Management Regulations Regulations SHARE : Detail Content A Gathering of all Asset Management Regulations Regulated Entities ○ Licensing/Registration • Mutual Fund Management
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, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
(Section 244/3(1)) 3.2 Securities trading on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition (Section 244
(Section 244/3(1)) 3.2 Securities trading on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent with the normal market condition (Section 244
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2