: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
shareholder in accordance with the form specified by the SEC Office as follows: (1) in case where any person would be major shareholder because company increased its capital, securities company shall file an