. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
investment units from an asset management company which offered for sale of investment units by presenting a false prospectus; - Purchasing securities from a securities issuing company who disclosed
investment units redeemed in the previous five days) In cases where the mutual fund management company, upon consideration, honestly and reasonably believes that the dissolution of the mutual fund will not
/LawandRegulations/ClassAction.aspx English (United States) RealEstateInvestmentTrust estate as REIT's assets are permissible under the following two cases: purchasing real estate and acquiring the ownership of the