Reporting and Audit Oversight Regulations SHARE : Detail Content Financial reporting and audit oversight Overview of enhancing quality of financial information Financial report is essential
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
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