• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
)/company. 4 Incorrect or incomplete disclosure of financial statements or annual report of listed company. ● Undisclosed items / incorrect disclosure of information ● Other related documents/evidence
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the characteristics of the mutual fund; (3) Suspension of an offering for sale of additional investment units
isclosures of investment policy and proportion of investment in the funds under the same management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV
isclosures of investment policy and proportion of investment in the funds under the same management companies as well as fees and voting rights are required; (5) No double counting in the disclosure of NAV
to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the characteristics of the mutual fund; (3) Suspension of an offering for sale of additional investment units
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants