in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
person became aware of the disclosure of the false statement or five years from the date on which such act was committed. To initiate a Class-Action lawsuit Investors can arrange to claim compensation via
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
committed. To initiate a Class-Action lawsuit Investors can arrange to claim compensation via Class-Action lawsuit by taking the following steps: 1. Combining efforts with the other investors who have been
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
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
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence