), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
guidelines cover the key areas of risk management, internal control, code of conduct, conflicts-of-interest management, handling of complaints against the SEC's staff, communication with stakeholders and
filing of mutual funds The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents
ensure properness of internal control system as well as efficient and productive operations. [ Executive Officers of the Office of the SEC ]12 . . . . . . . . [ EXECUTIVE OFFICERS OF THE OFFICE OF THE SEC
enhancement in a number of markets. Large listed companies have sought to enhance their corporate governance as a means of both improving control mechanisms and better managing risks, and last but not least, to
. Asset management 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
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
mutual fund selling agents ● Proposed to grant new mutual fund management license to increase a greater number of professionals ● Proposed to amend the Provident Fund Act for provident funds to invest