suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority. (8) The SEC is empowered to instruct the
suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority. (8) The SEC is empowered to instruct the
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
> Management of Mutual Fund Regulations SHARE : Detail Content Management of Mutual Fund Summary of regulations Related Regulations Summary of regulations 1. Authority of the SEC 2. Fund managers 3