supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
own interest at the expense of a third party, e.g., bribery. The United Nations defines corruption as a complex social, political and economic phenomenon that affects all countries (UNODC, 2009
investors are appropriately protected, while the business sector and market operators achieve competitiveness through development of various investment products and services. In this regard, the SEC has
- present Securities and Exchange Commission, in various position and roles including securities offering, mergers and acquisition, corporate governance, enforcement, legal, investor education, internal
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex