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fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
resulting from the amalgamation/merger; 4.4 Procedures, detailed steps, and duration of the process; 4.5 Rights of the unitholders; 4.6 Report on projected financial position of the mutual fund to be
resulting from the amalgamation/merger; 4.4 Procedures, detailed steps, and duration of the process; 4.5 Rights of the unitholders; 4.6 Report on projected financial position of the mutual fund to be
sanction appropriate for the presented facts of each case, and the imposition of all five sanctions in all cases is not required. In the case where the offender agrees to comply with the civil penalty
Preparation of a 6 month-period report and an annual report is not required for the mutual fund which has the term period less than one year, invest in instruments with maturity period close to the term of the
management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV/AUM of the mutual fund management company, and that of the industry. Authority of the SEC
management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV/AUM of the mutual fund management company, and that of the industry. Authority of the SEC
Preparation of a 6 month-period report and an annual report is not required for the mutual fund which has the term period less than one year, invest in instruments with maturity period close to the term of the