units over One-Third Limit 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1
-end mutual fund (1) The number of the unitholders is less than the specified limit as in the same case of the closed-end funds. (2) The investment units are redeemed in either one of the following
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possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
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may pursue civil proceedings to obtain a compensation. In any case, financial advisers and legal advisers must comply with their respective professional standards, and failure to do so would subject