must not exceed the maximum limits specified in the scheme and the prospectus of the offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
/ employee. If securities are allocated to directors, it must state the eligibility criteria for ESOP / maximum number for each person. Allocation to directors / staff must be at a price and conditions not
(MMF) may make a redemption payment on the same day the redemption order is submitted. The redemption amount is subject to the maximum limits of investment units that each unitholder can make a
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
specified by the SEC Office in accordance with Clause 5, is in the category which bars such person from being major shareholder of securities company for the maximum period of less than one year, the SEC