Issuing company · To protect investors from unfair practices and ensure the availability of adequate information for making a right investment decision, the SEC requires that companies obtain an
may pursue civil proceedings to obtain a compensation. In any case, financial advisers and legal advisers must comply with their respective professional standards, and failure to do so would subject
appoints a new guarantor by obtain special resolution of the unitholders ; (1.2) The mutual fund management company reserved the rights in the scheme to dissolve the guaranteed fund or to withdraw the
Forms 56-1 and 69-1 Handbook on the Directors and Executives Database Guideline for Disclosure of Information in Invitation Letters to Shareholders' Meeting of Listed Companies to Obtain Approval for
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
approval for the imposition of civil sanction, the Civil Sanction Committee has the duty to consider and determine an appropriate civil sanction to be imposed on the offender. There are five types of civil