step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
remain constant, the mutual fund management company shall adjust the number of the investment units according to the changes in NAV or the investment unit values. Authority of the SEC Fund managers Mutual
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
about the case. (5.2) In the case that the incorrectness occurs after the adjustment of the investment price to remain constant, the mutual fund management company shall adjust the number of the
competence or taken professional course prescribed (if any). Registration with the institute of appraisal profession It shall be deemed that an appraisal company and natural person, who have been registered
limitations (the case of holding more than one-third of total outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding