initial issues that the injured person should realize before participating in Class Action. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith
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, the mutual fund management company shall obtain approval of the mutual fund supervisor for consideration by the SEC. (2) Report the results of the action to the SEC and the unitholders within three
the SEC Office. Clause 4 2 Subject to Clause 5 and Clause 6, person eligible to obtain the SEC Office’s approval to be major shareholder of securities company shall not have the following
doing, the association must acquire a license and register with the SEC. The SEC supervises the operation of the associations to ensure that the association oversees the members, and carries out the
statements) or audited (annual financial statements) by an SEC-approved auditor which are monitored and reviewed by the SEC on a quarterly basis to ensure that investors will obtain accurate and complete