on the nature of the offence, for further investigation and gathering of evidence. If the inquiry official deems a contravention of relevant law has occurred, the case shall be forwarded to the Office
on the nature of the offence, for further investigation and gathering of evidence. If the inquiry official deems a contravention of relevant law has occurred, the case shall be forwarded to the Office
offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection
offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection
); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D isclosures of investment policy and proportion of investment in the funds under the same
); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D isclosures of investment policy and proportion of investment in the funds under the same
, address, telephone number, etc. and any personal data that indirectly identifies a person, e.g., educational background, training, etc. as long as it is necessary for the purposes of collection of such
Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
results should be used to strengthen the effectiveness of the board. Principle 3.8 The board should ensure that the board and each individual director understand their roles and responsibilities, the nature
the policy for distribution of return payment, the return payment must be straight forward and easy to understand; 3. T he investment policy shall not be specified with the features of a feeder fund