who were her close relatives and friends instead. In so doing, she secretly used her supervisor’s computer to change the names of the persons having the right to such IPO allocation. Consequently, the
The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to
intermediary, who will conduct KYC and Suitability tests in order to protect investors.4. Funds investing in shares of SMEs and startups will be established. These funds will be administered and
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
person qualified to be fund manager shall attend the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a training institute or having completed the courses that are approved by the Office; (4) Being
decisions. A CRA that is subject to a CRA registration and oversight program administered by a regional or national authority should not state or imply that the authority endorses its credit ratings or use