documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due
where the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state in the advertisement that the mutual fund is under the Office’s
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
exchange, as the case may be, which are in a list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF. “exchanging in-kind” means entering into the