; Educating and warning investors to ensure they have sufficient knowledge for decision making and exercise discretion when being solicited to invest in unlicensed or illegal businesses. SEC and Investors Be
offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active
offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active
the effects on shareholders: In case of a possible high dilution effect: Means the number of shares being offered is > five percent of paid-up shares at the date of the decision of the shareholders
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
company shall deliver the securities and assets as soon as possible. 2.3 Management fees For management fees, the rules for general mutual fund shall apply as follows: (1) A fixed rate, or a percentage
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
company shall deliver the securities and assets as soon as possible. 2.3 Management fees For management fees, the rules for general mutual fund shall apply as follows: (1) A fixed rate, or a percentage
required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
possible for payment; (4) Pay unitholders for the redemption of investment units within ten business days. Then the fund is deemed dissolved upon the payment for the redeemed units. 19.2 In the case of