Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
(Inspection of the director and executive's qualification on the company's request) (Form 35-E2) Letter of Request for Checking the Qualifications of Director and Executive (Inspection of the director and
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
of the collecting of personal data. Right to access: You have the right to access or obtain a copy of your personal data, and to request the disclosure of the source of your personal data. Right to
request approval or filing, but it must comply with the conditions for authorizing PP, such as: Having received an explicit resolution of the shareholders' meeting to approve the offering and such
unitholders of each fund. (3) In requesting for resolution, the asset management company is required to : 3.1) Specify details of the new scheme and commitment; 3.2) Request a resolution of the unitholders
management company may request a relaxation on the following matters: (1) Appointment of fund managers as approved by the SEC. (2) Preparation of and submission to the SEC a report on fund managers' starting
without having to request for approval and submit filing. However, the company must comply with the following conditions: TSR is for a period of not more than two months. The duration of last exercise of