Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP
from 1 January 2018 onward) - In case of using the examination results of CISA Level 1 or higher , CFA Level 1 or higher, FRM or CFP
redemption of investment units collect from the unitholders. (4) The mutual fund management company wishes to collect fees or expenses at a higher rate than recent rate specified shall follow the rules as per
redemption of investment units collect from the unitholders. (4) The mutual fund management company wishes to collect fees or expenses at a higher rate than recent rate specified shall follow the rules as per
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
Department whose rank is not lower than departmental manager" as to whether it includes every person whose title is departmental manager. Specifically, if the CFO in some companies holds higher position than
person whose title is departmental manager. Specifically, if the CFO in some companies holds higher position than departmental manager and oversees the Accounting and Finance Department directly, whether