worth investors, provide an organized market, anddesignate at least one market maker. For the market maker or the high networth investors trading, the mutual fund management company may accept
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
application for approval prior to the date on which securities company sells shares issued for the purpose of increasing its capital causing such person to be major shareholder; (2) in case other than (1
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified
or omits to act in order to obtain unlawful gains.) Section 312 (Director or manager permits another to commit dishonest act in the account or document) and; Section 313 (Increasing penalties for