used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
with either of the following rules: (2.1) A fixed rate or a percentage rate of the NAV or net asset value of the mutual fund; (2.2) A performance based management fee rate. (3) Fees on each sales or
with either of the following rules: (2.1) A fixed rate or a percentage rate of the NAV or net asset value of the mutual fund; (2.2) A performance based management fee rate. (3) Fees on each sales or
period of time that the SEC could refuse to accept the application. Lead appraiser Being full time casual worker or employee of the applicant; Practicing on asset appraisal continuously for not less than 1
company shall deliver the securities and assets as soon as possible. 2.3 Management fees For management fees, the rules for general mutual fund shall apply as follows: (1) A fixed rate, or a percentage
company shall deliver the securities and assets as soon as possible. 2.3 Management fees For management fees, the rules for general mutual fund shall apply as follows: (1) A fixed rate, or a percentage
fund to be established fully complies with all conditions as follows: 1. In the case that the mutual fund has the policy to invest in assets that are exposed to foreign exchange rate risk, the
fund to be established fully complies with all conditions as follows: 1. In the case that the mutual fund has the policy to invest in assets that are exposed to foreign exchange rate risk, the