true transaction: 4.1 Executives / majority shareholders of the company sell shares of the company in which such persons have conflict of interests to an outside person. 4.2 Executives of the company
the course of its review on the financial statements, or any cases where the benefit of the securities holders, investment decision, or price of the securities might be impacted, the SEC will order the
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important information which might affect the qualifications of the company is concealed
Association Associations related to securities businesses Summary of major provisions in supervising the related associations The SEC has the power to make an order for the directors or members to clarify
and authorized director are required. Photocopy of the applicant's passport. Signature of the applicant to certify true copy is required. Photocopy of an evidence of certified public accountant
and authorized director are required. Photocopy of the applicant's passport. Signature of the applicant to certify true copy is required. Photocopy of an evidence of certified public accountant
and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of penalty to be imposed on the offender. Appeal Any person who is affected by, and
of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the