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
) Fully Implemented, (2) Broadly Implemented, (3) Partly Implemented, and (4) Not Implemented. Most jurisdictions accept assessment grade of Broadly Implemented or above. FSAP Results The SEC has been
activities in each operating system. More details of personal data that the SEC Office collects can be found in the link to Privacy Policies above. Sources of personal data The SEC Office receives your
, derivatives clearing house, the association of derivatives business operators, persons who fail to pay the fees specified under the Derivatives Act, directors and executives of the juristic persons above (under
. The above provisions do not apply to mutual fund that focus on a one-time investment strategy and have a term of less than one year as from the date of registration as mutual fund. An annual report
on a calendar year shall be submitted within 4 months from the end of each accounting period. The above provisions do not apply to mutual fund that focus on a one-time investment strategy and have a
Capital Market Supervisory Board or the SEC Office. Any company fails to comply with the above provisions by performing unfair treatment against its officer, employee, or hired person shall be liable to