with knowledge and understanding of the high-risk or complex capital market products to communicate with and provide services to clients; (2) examine the client’s knowledge by taking the following
with knowledge and understanding of the high-risk or complex capital market products to communicate with and provide services to clients; (2) examine the client’s knowledge by taking the following
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
. • Improve information disclosure for investors to grasp growth & strategy drivers. • Emphasize understanding on ESG investment should relate along business value chain & is considered as a long-term value
. Clause 2 The Notification of the Securities and Exchange Commission concerning Rules on Exempting the Offer for Sale of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth
. Clause 2 The Notification of the Securities and Exchange Commission concerning Rules on Exempting the Offer for Sale of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the
rules to facilitate issuance of Green Bond, Social Bond or Sustainability Bond and provided the issuers with clearer understanding of the guidelines on the issuance and disclosure requirements, as follows
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
Redeeming Units of Foreign Collective Investment Scheme in case of Institutional or High Net Worth Investor dated 12 August 2012 shall be repealed. Clause 2 In this Notification: The terms “institutional