SEC’s Notification; (2) 1 have the following shareholder or shareholders held its shares not less than fifty percent of total shares sold: (a) commercial bank under law on commercial banking; (b
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units over One-Third Limit 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1
Criteria for protection of shareholders a. Notice of calling the Shareholders' Meeting Be delivered 14 days in advance of the meeting Contains sufficient information, at least on the following matter
investment units are sold exclusively to the Government Pension Fund or Social Security Fund. (2) In the case that the number of unitholders of a retail fund is less than 35 on any business day. 19.1.2 Open
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
with a client that is a provident fund or the Government Pension Fund; (5) In the case of a margin loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement