integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
Price lower than market price Shareholders New investors (private placement) Dilution effect Access to information Require approval of the shareholders Self-preservation of rights/ general
company, to make it clear that an outside person who does not have access to internal information will make the purchase order. EJIP accounts must be separated from personal accounts for clarity and
unitholders are informed of the access to such information channels via an email/SMS/ link to the website. Closed-end Funds Open-end Funds An annual report shall be distributed within 3 months from the
printed/ CD; (2) Publicized on the mutual fund management company's website, provided that the unitholders are informed of the access to such information channels via an email/SMS/ link to the website
their needs for advisory services of financial planning to attain targeted savings, do not have access to these services. The existing advisory services are catering primarily to high net worth investors
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
Exchange, the over-the-counter center, or the Derivatives Exchange, who is in the position or the condition that can access inside information through performance of duties; (5) Juristic person whose