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
-end mutual fund (1) The number of the unitholders is less than the specified limit as in the same case of the closed-end funds. (2) The investment units are redeemed in either one of the following
redemption of investment units 2. Multi-class 3. Changing on type of asset class and investment limit in consistent with investment policy 4. Calculation and announcement of net asset values (NAV
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
of Investment Units Management of Mutual Fund Private Funds or Provident Funds Limitations on Unitholding over One-Third of Outstanding Units Fundraising Market Professionals Financial Reporting