; (2.3) There are causes and necessities in order to protect the benefit of the investors. Should the mutual fund management company require to stop the operation longer than 1 business day, the
stop or rectify such actions within a specified period. Secondary Market/Securities Registrar Association related to Securities Business SHARE : For More Information ContactUs Intermediaries Policy
make an argument with evidence against the allegation before the SEC commences the consideration of the case except when it is necessary and appropriate for the SEC to take a prompt action to prevent
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
allocation of shares for Initial Public Offering (“IPO shares") which are allocated to sponsors and related parties (“RP") are prescribed to prevent concentrated allocation to sponsors and RP which will enable
trustee account; ensure that the units are not allocated to investors who are not high net-worth, in case of offer for sale solely to high net-worth investors; oversee to prevent the trust from becoming a
)” – liquid assets less liabilities and risk haircuts – to ensure that there are sufficient liquid assets to absorb losses, maintain stable financial status and, in the event of insolvency, prevent damage to