regulatory frameworks on disclosure of interim financial information to ensure that such information will best benefit investors in terms of information adequacy, accuracy and timely availability. The
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
availability of PVD data, to prescribe a clear application process and document requirements for fund registration, to improve the duties of employers, the Provident Fund Committee (PC) and fund managers, and
establish clearer standards and guidelines for business operators. The IT system must maintain security, integrity and availability of work systems and data in regard to IT risks and cyber risks. This took
had been given. Furthermore, the availability of credit watch placement information will help lessen share price volatility and benefit investors? investment decision making.Note: The research paper was
example, the necessity behind the sale of such assets, the company’s liquidity position, the availability of adequate funds for debt repayment, and future action plans related to the sale of the
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a