procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
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
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
performing function of financial advisory; (3) Having operational rules and guidelines of financial advisory functions which are precise, reliable, secure and sufficient in accordance with the professional
performing function of financial advisory; (3) Having operational rules and guidelines of financial advisory functions which are precise, reliable, secure and sufficient in accordance with the professional