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collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
(Inspection of the director and executive's qualification on the company's request) (Form 35-E2) Letter of Request for Checking the Qualifications of Director and Executive (Inspection of the director and
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
request approval or filing, but it must comply with the conditions for authorizing PP, such as: Having received an explicit resolution of the shareholders' meeting to approve the offering and such