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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
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a
number of unitholders less than 35 will apply when the fund is traded in the secondary market and the dissolution procedure is the same as listed funds. (3) Retail investors may redeem ETF investment