transferable securities was the main activity than the budding primary market where businesses issued securities for public offerings. Also a concern at the initial stage of development was the overlapped market
, topical consistency and compliance with relevant laws. The SEC Code of Governance imposed on board members, executives and staff covers the following areas: Accountability Responsibility Equitable Treatment
. (3) The audit committee’s opinions. (4) Consistency with objectives, strategies and policies. 7.1.3 The board should ensure that information disclosures (including financial statements, annual reports
and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of investment units of mutual fund; 2) Redemption payment in the form of securities or
and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of investment units of mutual fund; 2) Redemption payment in the form of securities or
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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 Qualifications Main duties of a Trust
established by the virtue of the Securities and Exchange Act BE 2535. Our main duties are to promote, develop, supervise the capital market, for example, fund mobilization, products and services, related
SEC, to protect investors from all risks or shield them against investment losses. The main objective of the SEC is rather to ensure fair treatment and that investors have sufficient tools to protect