incurred in the actual handling of the matters shall be taken into consideration without the principal intention being to generate revenue. The fees shall become the property of the SEC Office. Chapter 2

that there are differing mandates, contexts, strategies and aims together with considerations of jurisdiction, regulation and best practice that will determine the approach that can be taken by a

financial markets, or have a significant adverse impact on Covered Entities or investors of Covered Funds; and (b) any significant enforcement action taken by them, including the revocation of, suspension of

pioneer in director training and through its Corporate Governance Report (CGR) which rates governance of listed companies. The CGR confirms that companies and boards have taken a number of steps to improve

of rights is specified as follows “the management company may exercise its discretion in changing the invested assets or investment proportion only if it is the action taken under necessary and

issues and propose the actions to be taken to the Minister. Section 12. The SEC shall have the power to appoint a sub-committee to perform any matter as assigned by the SEC. The provisions of Section 12 of

report the facts and assess the potential impact or damages in respect of such act as well as analyse the issues and propose the actions to be taken to the Minister. Section 12. The SEC shall have the

Clause 14(1) mutatis mutandis, except for Clause 14(1)(d) in the case of a retrospective price correction report for an open-end fund, which shall specify the action taken by the mutual fund management

the capital market were taken care of to ensure that they would be able to continue functioning seamlessly. In this regard, building a quality financial reporting system in compliance with international

statement of that fact; (b) details of the credit arrangement or bank loan; and (c) details of any action taken or to be taken by the issuer or other entity in the group, as the case may be, to rectify the