collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
morality, the SEC has the power to refuse registering the persons as directors of the association. When it is apparent that the board of directors, directors or members of the associations undertake any
fund shall not invest in other funds under the same management company (cascade investment); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
to internal control and compliance. Furthermore, collaboration has been established with external agencies as well as international organizations ranging from collection of evidence to criminal
, 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