Products (IC complex 1 / IC complex 2 / IC complex 3) Qualifications of Applicants for Approval of Investment Consultant on General Products (IC plain) Training Courses - New Courses (Examination
Products (IC complex 1 / IC complex 2 / IC complex 3) Qualifications of Applicants for Approval of Investment Consultant on General Products (IC plain) Training Courses - New Courses (Examination
Capital Market Business Qualifications of Applicants for Approval of Applicants for Approval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex Products
determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New securities Public company limited Private Placement General approval / no duty to disclose
imposed when the SEC is granted an approval of the Civil Sanction Committee, which comprises five members, namely: (1) the Attorney-General; (2) the Permanent Secretary of the Ministry of
Securities Companies Net Capital Rule (NCR) Outsourcing Activities Note: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central
in the Capital Market. (Codified) Application for Approval of Capital Market Auditor Application for Approval of Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of
period, and an annual report on results of the operation to be presented to the general meeting of the associations. A copy of balance sheet and the annual report must be submitted to the SEC by the
from a provident fund (PVD) or retirement mutal fund (RMF) (using the existing RMF rather than establishing a new fund) General unitholders The unitholders are investors who transferred from PVD
from a provident fund (PVD) or retirement mutal fund (RMF) (using the existing RMF rather than establishing a new fund) General unitholders The unitholders are investors who transferred from PVD