. • IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (IOSCO MMoU) The SEC became a signatory to the IOSCO MMoU at the IOSCO Annual
provision is to ensure that CFOs and chief accountants will consistently enhance their knowledges and competency. In this connection, the SEC issued a practice guideline in attending the training sessions as
The board should demonstrate a thorough understanding of its leadership role, assume its responsibilities in overseeing the company, and strengthen good governance, including: (1) defining objectives
Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of Private Fund Management Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment
Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of Private Fund Management Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment
Government Gazette / send the circulars / conduct seminars or dialogues with practitioners to ensure their correct understanding and implementation of the new notifications Acts and Royal Enactments
, accordingly, cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising out of or in connection with its use. SHARE : For More Information ContactUs Legal
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
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power