One of the SEC objectives is to support investors to develop a robust financial health, using the capital market to accumulate wealth in response to their needs. As such, to expand investment choices

The “Aom No. 5” campaign’s main objective is to expand investor base, particularly those of working age, encouraging them to be prepared for the future and have saving discipline through dollar cost

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 19/02/2018 - 27/02/2018

acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of

overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows:           (1) Posting on the

DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22

standards should be overseen by bodies independent of the pro- fession. Recommendations:  Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and

has placed an emphasis on comprehensive risk management such as credit risk, market risk, liquidity risk, operational risk, cyber risk and strategic risk which are also covered and properly managed

are being properly managed. As the level of public disclosure has increased in major markets, it is helpful if asset managers explain their thinking on public disclosure even when they have decided not

operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring