handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
the system to disclose information as specified by the SET. A listed company is prohibited from offering shares to a subsidiary. If the persons being allocated shares are related persons, the listed
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
. Transactions with the trustee A trustee shall not perform any actions against the interests of the REITs, nor actions which will cause the trustee to lose independence except for the following: being