application for approval prior to the date on which securities company sells shares issued for the purpose of increasing its capital causing such person to be major shareholder; (2) in case other than (1
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
securities or other assets as payment in lieu of cash. The conditions and procedures must be clearly specified in the scheme. (4.3) Retirement fund (RMF) shall be an open-end fund only. (5) Increasing the
securities or other assets as payment in lieu of cash. The conditions and procedures must be clearly specified in the scheme. (4.3) Retirement fund (RMF) shall be an open-end fund only. (5) Increasing the
securities trading order through the securities trading system of the Stock Exchange or the over-the-counter center even though it is known or ought reasonably to be known that such act is likely to cause the
securities trading order through the securities trading system of the Stock Exchange or the over-the-counter center even though it is known or ought reasonably to be known that such act is likely to cause the
with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
- (1) not have financial condition that is likely to cause damage or have any other circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application
Associated Person hold investment units over one-third of the units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified