Reporting and Audit Oversight Regulations SHARE : Detail Content Financial reporting and audit oversight Overview of enhancing quality of financial information Financial report is essential
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
) 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
mutual fund management company, the designated employee must hold a position which will not cause conflicts of interest concerning the fund management, or hold a position that assumes the highest
limitations (the case of holding more than one-third of total outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding
benefit of beneficiaries, according to terms set out in a trust instrument. A trustee of an infrastructure trust must hold a license granted by the SEC and be independent from the trust manager
dispose of the assets at the earliest opportunity, except that the unitholders accept the assets as debt repayment instead of cash. 2) I nclusion in the fund: The funds may continue to hold the assets