) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
years; (3) a bar from serving as a director or executive in a listed company or a securities company for up to 10 years; and ( 4) a reimbursement of investigative expenses incurred by the SEC. A
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Mutual Fund > Fees Regulations SHARE : Detail Content Management of Mutual Fund 18. Fees Fees and expenses must be clearly specified in the scheme and prospectus. The total amount of all items combined
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
financial position of the mutual fund to be amalgamated/merged or the new mutual fund; 4.7 Dividend payment policy before and after the amalgamation/merger; 4.8 Amalgamation/merger expenses chargeable to
investment units of mutual fund; 2) Redemption payment in the form of securities or other assets in lieu of cash (Pay in Kind); 3) Incorrect pricing of the investment units; 4) Fees or expenses imposed on the