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cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making
alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they can better diversify the investment risks, and receive professional services in monitoring and
alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they can better diversify the investment risks, and receive professional services in monitoring and
holder CAIA Association Chartered Alternative Investment Analyst, awarded in 2011 and a current charter holder Current Appointment Deputy Secretary-General, SEC Experiences Securities and
"Happy PVD" SEC and Investors Be Wary of Investment Fraud Investment Governance Code for Institutional Investors (I Code) Investors' Rights SEC Help Center Resources for Investors SHARE : For More
a financing alternative which can reduce cost of funds paid to financial institutions. Issuers may determine the term of debt securities to be in line with their term of financial needs. On the
with Foreign Regulators Alternative Investment Fund Managers Directive (AIFMD) International Organization of Securities Commissions (IOSCO) Established in 1983, the IOSCO is the international
significant operations of the activities. Some of significant rights of the shareholders are: Rights before a decision to invest Rights as a shareholder SEC and Investors Be Wary of Investment Fraud
or trading documents Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or embezzlement by listed company’s executive(s). ● Name of executive and related person/name of company