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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
manager or a person responsible for the management of the company, whether de facto or as authorized by the board of directors. Pursuant to Section 89/1 of the SEA, the Notification of the Capital Market
> Fund Manager Regulations SHARE : Detail Content Fund Manager/Investment Analyst The approval process for fund managers and investment analysts are prescribed in the Capital Market Supervisory
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
Persons > Fund Manager > Regulatory Summary Regulations SHARE : Detail Content Fund Manager / Investment Analyst Appplication Process Regulatory Summary Related Rules and Regulations SHARE
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund supervisor fails to correct the qualifications within a specified period. (2) Calculation and announcement of net