director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
company secretary? In case of commission of a legal offence, unintentionally or dishonestly, how would the company secretary be penalized? A: The person(s) with the management authority shall hold
group comprise independent audit regulators from four ASEAN jurisdictions, namely the Audit Oversight Board of Malaysia (AOB), the Accounting and Corporate Regulatory Authority of Singapore
Documents / email/messages related to the application and services Advertising/solicitation documents or trading documents Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
capital market" ____________________________ * The SEC represents the whole organization of the SEC with three tiers of authority : The SEC Board primarily responsible for policy formulation for market
หน่วยงานกำกับดูแลตลาดทุนมาเลเซีย (Securities Commission Malaysia) และสิงคโปร์ (Monetary Authority of Singapore) ได้ลงนามในบันทึกความเข้าใจด้านการกำหนดแนวทางการยอมรับมาตรฐานหน่วยลงทุนซึ่งกันและกัน เพื่อ