shall be terminated. Following actions are required: 1) Inform the SEC of the case within 15 days from the closing date of the IPO; 2) Refund the subscription payment and any interests thereof within
holding from the greatest to the least (3) Daily disclosure of an increase or reduction of the investment units The mutual fund management company shall inform the mutual fund supervisor and all unitholders
investment units The mutual fund management company shall inform the mutual fund supervisor and all unitholders through appropriate channels such as company's website. (4) Sale and redemption of the investment
company shall inform the unitholders at least 3 business days before the effective date. . (b) Where the mutual fund management company wishes to collect fees or expenses higher than the ceiling
inform the client of the action in an annual report. The private fund management company to vote on the client’s behalf, the private fund management company shall give advice on exercise of voting
Inform, disseminate, or certify any statement of information that is materially misleading (Section 240) 1.2 Analyze or forecast by using false information or distorting information (Section 241