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. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
original scheme; 4.2 The unitholders received the investment capital and the returns upon expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end
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
guarantee. (2) Where the arrangement with a new guarantor will cause fees to increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the