. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form
investment in shares of limited companies, these can be offered for sale to more than 50 investors only if the offeror must put in place the following mechanism for protection of shareholder’s rights: (a
requirements. Digital assets which will be traded in exchanges are required to follow the listing rule of exchanges which must be approved by SEC Board.Any digital asset trading within the digital asset
is an initiative under the ACMF Implementation Plan endorsed by the ASEAN Finance Ministers in 2009. The Framework aims to facilitate cross-border offerings of Equity Securities and Plain Debt
regard, the SEC urges investors to be cautious in making use of news coverage on securities offering or fund establishment and listed companies? profit forecast, if it has not approved by the SEC or not
to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual
reducing the deposit limit in cash or cash equivalent of any specific issuer (single entity limit) from the previous 20 percent to 10 percent, and (2) requiring more disclosure in the fact sheet of
supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the
asset management companies are already required to prepare and disclose to the unitholders. In drafting the regulations, the SEC took into account the feedbacks received from the business operators during