action or to refrain from any action, in following cases: (1) The actual objective or substance of m anaging the mutual fund constitutes an avoidance of the provisions or the rules. (2) The management of
action or to refrain from any action, in following cases: (1) The actual objective or substance of m anaging the mutual fund constitutes an avoidance of the provisions or the rules. (2) The management of
holders, investment decision, or price of the securities might be impacted, the SEC will order the company to have a special audit on such financial statements and report the result of such audit to the SEC
the shareholders in matters that may significantly affect the fund's benefit; 2) Disclose to the clients the details of the practice and the actual course of action concerning the exercise of voting
the shareholders in matters that may significantly affect the fund's benefit; 2) Disclose to the clients the details of the practice and the actual course of action concerning the exercise of voting
. Clarifying, in conjunction with the issuers, to the SEC in the cases that the actual operating results are significantly different from the estimate. 2. Acquisition of securities for business takeover
. Clarifying, in conjunction with the issuers, to the SEC in the cases that the actual operating results are significantly different from the estimate. 2. Acquisition of securities for business takeover