integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having