Advisors are Broker/Dealers. • Broker/dealers must obey “suitability” standard of conduct but not “fiduciary duty” • Broker/dealers are regulated by FINRA REGULATORY REQUIREMENTS Provide regulator with
participating fund managers have the necessary experience and track record in managing retail funds, and funds offered under the framework are regulated and managed based on industry best practices. Regulatory
the characteristics specified in the governing rules. For example: - The Hong Kong Covered Management Company is regulated by the Securities and Futures Commission of Hong Kong (SFC), which is the home
over the last decade. • Product quality and safety risks are well managed with a solid operating track record, premium product positioning and few product recalls relative to industry peers. • Governance
will have to abide by the “Standards on Qualifying CIS", a set of common requirements designed to ensure that the participating fund managers have the necessary experience and track record in managing
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
) Financial Literacy media under the theme, “Money Matters,” with video presentation and storybooks about the importance of money saving, the basics of personal finance, and how to keep track of incomes and
structure Resilience Momentum How do we assess the management’s and Board’s track record of delivering value and navigating disruption? (e.g. Governance, Capital management, Stakeholder management) Corporate
awareness of the importance of cybersecurity plan, work system stability and data protection. Co-organized by the SEC and the regulated entities, the cyber drill activities were conducted by experts from the
ทั่วไป2ต้องเป็นตราสารที่ขึ้นทะเบียนใน regulated market3 และมีข้อมูล public4 ทั้งนี้ กรณีเป็นตราสารที่มีวันกำหนดชำระหนี้ไม่เกิน 397 วัน หากมีข้อมูล public หรือมีการออก/ค้ำ