) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC
method and with sufficient details of the practice and the course of actions in exercising of voting rights. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of
/ appropriateness of the market price being used and the method of price indication In case of a fixed price, it must identify a group of persons to whom it is expected to offer The right to veto Proxy
to reduce fees or expenses, the company shall disclose the information to the unitholders widely through the appropriate method. At the minimum, the company shall publicize the information on its
benefit the remaining unitholders, the mutual fund management company should exercise its discretion in deciding whether to dissolve the fund. The calculation method in the case of investment units
listed company must disclose information about the newly issued shares to PP before the offer to sell, with the details of at least the offering price and the method of calculating the offering price via
right must consist of at least the following details: Details, duration, price, rate and method of exercise of right Reason, conditions and procedures for amending the terms of the warrant Compensation in