exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
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
venture capital management consideration on which shall be based on the company executives’ knowledge,competence, honesty and working experience. Clause 2 Person intending to establish a limited company or
redemption of investment units 2. Multi-class 3. Changing on type of asset class and investment limit in consistent with investment policy 4. Calculation and announcement of net asset values (NAV
executives’ knowledge,competence, honesty and working experience. Clause 2 Person intending to establish a limited company or public limited company for operating securities business in the category of venture
and advertisement Investments Due diligence on real estate to be invested Leverage limit Guarantee of income Facilitation of benefits Trust certificate holder meetings Other rules Status and
with a client that is a provident fund or the Government Pension Fund; (5) In the case of a margin loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement