One of the SEC objectives is to support investors to develop a robust financial health, using the capital market to accumulate wealth in response to their needs. As such, to expand investment choices

The “Aom No. 5” campaign’s main objective is to expand investor base, particularly those of working age, encouraging them to be prepared for the future and have saving discipline through dollar cost

and activities of firm directly. 1. cutting Research and development (R&D) or expenses and advertising 2. premature revenue recognition by offering prices discounts, expand credit terms, sales of

information and calling of additional shareholders? meetings which is not only costly but also affects plan of the companies in certain cases. The revised CMSB regulations will bring about more efficiency of

replace the current regime whereby each license represents a bundle of business undertakings, which proves to be costly to licensees. The revision would allow more flexibility and support future types of

on Return Long-term Return 5 From high to low fees: trigger, small-cap, large-cap, and index funds. Large-cap is the largest segment but more expensive funds with poorer performance have been selling

/ regulatory action 5. Advertising, raising customer awareness • One state regulator describes their role as making advisors reveal their “verification of misconduct” (costly verification) • Conditional on a

estate development projects but due to the feasibility study of the project, the Company considered that the development of the project on such land is costly and not cost effective. The Company, therefore

to expand investor base, regulations were passed to allow the setting up of many new types of mutual funds, the mobilization of long-term investment through retirement mutual fund, the improved

, a committed criminal offence has a costly negative impact on the public confidence in the capital market. The SEC therefore gives a greater emphasis on proactive prevention by formulating regulations