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
management systems, and disclose its opinion in the company’s annual report. Principle 6.3 The board should manage and monitor conflicts of interest that might occur between the company, management, directors
might occur between the company, management, directors, and shareholders. The board should also prevent the inappropriate use of corporate assets, information, and opportunities, including preventing
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
information which might affect the qualifications of the company is concealed. Offering price for PP is lower than IPO after the date of application, the company is prohibited from offering to sell PP at a
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
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