Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
effective date of the previously submitted registration statement, either Form 69 – CIS full or Form 69 – CIS annually update , as the case may be. In the case where there is a material change to the
may be. In the case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the CIS
the case may be. In the case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the
previously submitted registration statement, either Form 69 – CIS full or Form 69 – CIS annually update , as the case may be. In the case where there is a material change to the information specified in