which must be corrected, and the root cause analysis for such errors. The study also proposes recommendations on important factors which play an important role in the accurate preparation of financial
. Others include preparation of financial statements, methods to contact and service customers with identification of customers’ real identities or real beneficiaries, evaluation of customers’ investment
On 1 September 2020, SEC amended the regulations on the preparation of the annual registration statement (Form 56-1) and annual report (Form 56-2) by consolidating both forms into one called Form 56
company shall take any of the following actions: (3.1) Dissolve the funds; (3.2) Withdraw the guarantee. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial
documents related to the request for votes, and the counting of votes to the fund supervisor to certify the vote results. Authority of the SEC Fund managers Mutual fund performance measurement Preparation
units with the mutual fund management company and the rules and procedures must be clearly specified in the scheme. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of
related officers at a minimum of once a year. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription of additional rules
the scheme capital can be made after the change in the scheme capital has been registered with the SEC. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial
dividend payment. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription of additional rules Calculation and announcement of net
. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of financial reports of mutual fund Prescription of additional rules Calculation and announcement of net asset values (NAV