. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
Council of State agreed to apply the principle of Class Action to the cases which have numerous victims affected by tort, breach of contract or damage derived from a violation of specific law, to protect
original scheme; 4.2 The unitholders received the investment capital and the returns upon expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end
affected by tort, breach of contract or damage derived from a violation of specific law, to protect the injured persons. Accordingly, the principle of Class Action has been enacted as part of the Civil
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
guarantee. (2) Where the arrangement with a new guarantor will cause fees to increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an