actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
original scheme; 4.2 The unitholders received the investment capital and the returns upon expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end
guarantee. (2) Where the arrangement with a new guarantor will cause fees to increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an
/ bonds with a bondholders' representative). (original requirements) - For the offering of bills, the approval will be granted upon submission of a report on features of the bills. - For the offering of
/ bonds with a bondholders' representative). (Original requirements) - Applicable to the offering of bonds only. - Application shall be submitted for an approval. The following qualifications will be