> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with
for public offerings. Also a concern at the initial stage of development was the overlapped market supervision under the authority of multiple agencies as seen in the following areas: Securities
important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
group comprise independent audit regulators from four ASEAN jurisdictions, namely the Audit Oversight Board of Malaysia (AOB), the Accounting and Corporate Regulatory Authority of Singapore
directors and non-executive directors should support proper checks and balances to prevent unfettered power of decision and authority by any one individual, whereby: a) the majority of the board should be
capital market" ____________________________ * The SEC represents the whole organization of the SEC with three tiers of authority : The SEC Board primarily responsible for policy formulation for market
หน่วยงานกำกับดูแลตลาดทุนมาเลเซีย (Securities Commission Malaysia) และสิงคโปร์ (Monetary Authority of Singapore) ได้ลงนามในบันทึกความเข้าใจด้านการกำหนดแนวทางการยอมรับมาตรฐานหน่วยลงทุนซึ่งกันและกัน เพื่อ
company secretary? In case of commission of a legal offence, unintentionally or dishonestly, how would the company secretary be penalized? A: The person(s) with the management authority shall hold