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can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to
action or to refrain from any action, in following cases: (1) The actual objective or substance of m anaging the mutual fund constitutes an avoidance of the provisions or the rules. (2) The management of
> Enforcement > Administrative Actions Regulations SHARE : Detail Content Enforcement Administrative Actions Administrative action is a type of law enforcement that involves the issuance of