/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This step ensures that the measure to be taken is appropriate, practical and respectful to
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged
management company shall take the following actions: (1) Notify the SEC and the unitholders about the cause of the decrease in the asset values within three business days and about action plans to be taken
management company shall take the following actions: (1) Notify the SEC and the unitholders about the cause of the decrease in the asset values within three business days and about action plans to be taken
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged
a report on investment in the investment units for the unitholders who redeem the units according to the rules and procedures set out by the AIMC. (4) In the case of transferring units among the RMFs
a report on investment in the investment units for the unitholders who redeem the units according to the rules and procedures set out by the AIMC. (4) In the case of transferring units among the RMFs
disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are beyond the control of the mutual fund management company. The postponement can be made for no
disposing of, distributing or transferring securities or assets of the funds; and the impacts of the events are beyond the control of the mutual fund management company. The postponement can be made for no