effective supervisory mechanism and sustainable capital market, the SEC has moved towards more principle-based regulations and self-discipline among practitioners by using four major instruments as follows
effective supervisory mechanism and sustainable capital market, the SEC has moved towards more principle-based regulations and self-discipline among practitioners by using four major instruments as follows
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
fund shall not invest in other funds under the same management company (cascade investment); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D
fund shall not invest in other funds under the same management company (cascade investment); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D
, address, telephone number, etc. and any personal data that indirectly identifies a person, e.g., educational background, training, etc. as long as it is necessary for the purposes of collection of such