liquidity and high risk (cherry picking); (2) shall use the latest issuance of credit rating information made by the reliable credit rating agencies approved by the SEC Office in pursuant to the Notification
liquidity and high risk (cherry picking); (2) shall use the latest issuance of credit rating information made by the reliable credit rating agencies approved by the SEC Office in pursuant to the Notification
. The analysis should enable the determination of the level of risk of the instrument, expected return, portfolio construction, and the safety level of investment. Investment management shall also be
statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest. The analysis should enable the determination of the level of risk
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
market confidence, reducing systemic risk, and protecting investors, the SECûs 2004-2007 strategic plan covers the supervision and development in the area of: equity market, debt instrument market, mutual
the Climate Bonds Standard confirms that the bond, loan or other debt instrument is: Fully aligned with the Green Bond Principles and/or the Green Loan Principles Using best practices for internal
using the information to advise or otherwise advantage another person in transacting in the trading instrument. 4. GOVERNANCE, RISK MANAGEMENT, AND EMPLOYEE TRAINING 4.1 the CRA establishes, maintains
/?search=virtual+property+OR+%22virtual+property%22+OR+%22digital+real+es... English (United States) CorporateFinance Regulations SHARE : Detail Content Fu ndraising Equity Instrument Debt Instrument
investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for