actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for