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
documents for public limited companies for such matters as issuance and offer for sale of securities, listing of securities, preparation of rehabilitation plans for non-performing listed companies
offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active
executive of company. Q: Does the term, “director" include “director of creditor" in case of a company entering the rehabilitation process? A: In case of a company entering the rehabilitation process in
to internal control and compliance. Furthermore, collaboration has been established with external agencies as well as international organizations ranging from collection of evidence to criminal