. Paralee Sukonthaman, Head of the Change Management Task Force, said that the Change Program aims for improvement in three major areas of SEC responsibility: regulatory reform; work process; and staff
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
procedure for establishment and management of mutual funds, the SEC plans to introduce an auto approval process for plain vanilla funds, which have no complicated features such as investment in derivatives
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
Handbooks / Best Practices SHARE : Detail Content Fund Raising FORM 56-1 : Annual Registration Statement Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations
process of inquiry by the inquiry official. DAB Act S.26 Criminal Complaint Filed with an Inquiry Official Dated 05/07/2019
prospectus with the SEC Office. This case is in the process of inquiry by the inquiry official. SEC Act S.65 Criminal Complaint Filed with an Inquiry Official Dated 07/08/2020
. This case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 03/08/2022
Office. This case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 29/09/2022