laws and has qualifications in accordance with the criteria for approval to sell shares. A warrant must contain the following details: Terms of a warrant: Having a definite term of not more than ten
holding of investment units more than one-third of the units outstanding (if any); Iist of fund managers. A six-month report shall contain at least the information items from (1) to (10). Authority of the
financial information. In cases where the SEC finds that the financial statements contain incorrect information or misstatement, it will order the company to rectify such financial statements and publicly
shareholders' meeting Delivered at least 14 days in advance Contain at least the following information: explanation on the necessity for sale of ESOP to the existence of the company Not necessary reason
allocation of shares for Initial Public Offering (“IPO shares") which are allocated to sponsors and related parties (“RP") are prescribed to prevent concentrated allocation to sponsors and RP which will enable
managers. A six-month report shall contain at least the information items from (1) to (10). Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual
requirements, and restrictions. 1.2 The agreement for the management of a private fund or provident fund shall have the following features: (1) The agreement does not contain a statement that the private
requirements, and restrictions. 1.2 The agreement for the management of a private fund or provident fund shall have the following features: (1) The agreement does not contain a statement that the private
stage of the filing. Guarantee of income At least one income guarantor shall be a juristic person. The trust instrument shall contain a provision specifying that the guarantor of income agrees to bind as
Related Regulations The purpose of the restriction on unitholding in mutual fund above one-third of the outstanding investment units is to promote the more extensive distribution of investment units. The