knowledge and understanding in capital market products and services before making investment decision. Those questions include ?What are the risks and rewards of the investment??; ?What kinds of investors are
such behaviors prior to re-filing public offering application. In this regard, such securities include shares, share warrants, debentures and convertible debentures as well as units of infrastructure
financial markets. Monthly disclosure should include at least the following information:1. Mutual funds holding securities directly: Top five securities held (for balanced funds, equity and debt separately
SRI Funds and bonds.* Additional details for SRI Fund include investment policy, investment unit value, net asset value, dividend policy, fund fees and past performance. The information is available
for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure. In this regard, the deductible amount would
underwriters are required to inform asset management companies of a list of related parties of each issue. (Related parties include (1) the underwriter, (2) the issuer, (3) executives, major shareholders, and
which include preventive measures on conflict of interest, chinese wall as well as risk management; and (7) Have good operating system equipped with qualified staff in place.
regard, Mrs. Wannee has the duty to prepare and disclose reports regarding her holding securities and the changes to such holdings (Form 59-2) include 184 changes, within (1) Year 2021, by 4 March 2021 (2
regard, Mrs. Wannee has the duty to prepare and disclose reports regarding her holding securities and the changes to such holdings (Form 59-2) include 185 changes, within (1) Year 2020, by 24 March 2020 (2
from investment scams via various new forms and channels. In this regard, the SEC has observed a persistent trend of investment scams related to the capital market, with scammers often using online