ethics and due diligence guidelines on securities issuers applying for public offering. To strengthen enforcement efficiency, the SEC furthered its support for legislation of civil penalty and class action
Council Member of one state university • Visiting lecturer at state and private universities • Member of the Professional Accounting Committee on Accounting Education and Technology • Ethics Subcommittee
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
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
life insurance; (c) any other financial institution as prescribed by the SEC Office; (3) “professional code of ethics” means: (a) professional code of ethics established by the Federation of Accounting
shall not affect the existing rights of the unitholders. (2) The mutual management company may allow the unitholders to switch their investment units from one class to another. The procedure for the
; 2) The debt instrument or claim shall not be included when calculating the fund's NAV. 15.2 Procedure for handling assets as debt repayment 1) Set-aside: the mutual fund management company shall
shall not affect the existing rights of the unitholders. (2) The mutual management company may allow the unitholders to switch their investment units from one class to another. The procedure for the
; 2) The debt instrument or claim shall not be included when calculating the fund's NAV. 15.2 Procedure for handling assets as debt repayment 1) Set-aside: the mutual fund management company shall