Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
Mutual Funds (Fact sheet) June/2023 Click here to display all results [Mutual Funds] NAV and Sale&Redemption ( 56 record(s) found) No. Report Name Data File : Net Asset Value Data File : Sale and
Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market
to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market Supervisory
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
and amendments in October –November 2024, for which the majority of respondents expressed support. The SEC has issued 13 notifications concerning the amendments** with key points as follows: (1
following regulations: Clause 1 This Notification shall come into force as from 16 July 2013. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board
law, the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 16 July 2013. Clause 2 The following Notifications shall be