inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
established under specific law; or (6) newly established limited company or public limited company to undertake securities business in the category of investment advisory service under this Ministerial
Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the Category of Mutual Fund Management and Period for Filing Application By
specific law as specified by the SEC and published in the Government Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private
for sale overseas with foreign nationality (normal persons/juristic persons) or via omnibus account under a foreign mutual fund management company. 1.2 Relaxation on the unitholding proportion with
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
foreign commercial bank or foreign life insurance company under the third paragraph shall also have qualifications specified under the second paragraph. Clause 4 Limited company or public limited company
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