companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian
The SEC has implemented the regulatory guillotine scheme,** which aims to review and revise regulations to suit the current situations, enhance competitiveness, and facilitate operations of
Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered
financial planning tool and raising people’s awareness into actual implementation. “In order to promote wealth advisors, SEC will amend the regulations to attract and reduce obstacles for new and existing
compromise business opportunities.The SEC is therefore proposing to amend the IPO regulations by clarifying the issuer’s qualification of non-involvement in an illegal business to ensure clarity and
particular person to reduce inappropriate PP offering. The SEC is proposing to amend the PP offering regulations to further enhance efficiency of such offering and maintain sufficient investor protection
in Securities Business. 1.2 Order collecting process. 1.3 Rectification and amendment of orders recorded in error, for instance timeframe, procedures and the person so assigned. 1.4 Verification of
Rectification and amendment of orders recorded in error, for instance timeframe, procedures and the person so assigned. 1.4 Verification of clients’ order for accuracy and completeness disbursement 1.5 Control of
Turnover Ratio Settlement Period: Sharpe Ratio Alpha Remark: ……………………………………...………………….……. ………………………………………………………………………… ………………………………………………………………………… Beta Tracking Error Average Maturity of Debt Instruments
Error Average Maturity of Debt Instruments Fees to be charged to the fund (% of NAV per annum) Yield to Maturity Country Allocation Fee items Maximum charge Actual charge Management fee Total expenses