, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions to shareholders in cases that the listed companies involve in significant transactions that could
, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions to shareholders in cases that the listed companies involve in significant transactions that could
offering, the mutual fund management company may offer for sale of the investment units in an amount exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in
offering, the mutual fund management company may offer for sale of the investment units in an amount exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in
of financial report to ensure that public disclosure of financial report is accurate, transparent, useful to the investors and prepared in compliance with international standards. In so doing, the
of holding more than one-third of total outstanding units over one year) 4. Procedures for holding investment units over One-Third Limit 1. Limitations on unitholding over one-third of the total
of holding more than one-third of total outstanding units over one year) 4. Procedures for holding investment units over One-Third Limit 1. Limitations on unitholding over one-third of the total
scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and accurate disclosure of information relating to the debt securities which are in line with
financial statements of the company shall be accurate and reliable, complying with the rules as specified in Section 56 of the Securities and Exchange Act and being audited or reviewed by an SEC-approved
complete and accurate information. 2. Normal track case for cases which are not fast track Uses the same criteria with Public Offering (PO), for instance, qualifications of good corporate governance and