: Detail Content Limitations on Unitholding over One-Third of Outstanding Units Summary of regulations Related Regulations The purpose of the restriction on unitholding in mutual fund above one-third of
: Detail Content Limitations on Unitholding over One-Third of Outstanding Units Summary of regulations Related Regulations The purpose of the restriction on unitholding in mutual fund above one-third of
finance or Continuing development course in accounting knowledge for CFO and Chief Accountant A CFO and a chief accountant are required to complete an orientation course in accounting and
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose the following orders: rectification of non-compliance operation, restriction of
of the transfer restriction, features of bonds, draft terms and conditions and a bondholders' representative appointment agreement (in case of secured bonds/ bonds with a bondholders' representative
(PO) Approval Qualifications and approval rules - The approval will be granted upon the registration of the transfer restriction, features of the instruments, draft terms and conditions and a
reporting and audit oversight 2. Auditor Supervision The SEC has put its continuing effort on auditor supervision as the auditor's role of independent professional is fundamental to investor
SEC has revised rules on granting approval of auditors in its continuing efforts to enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial