handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
the SEC Office. Clause 4 2 Subject to Clause 5 and Clause 6, person eligible to obtain the SEC Office’s approval to be major shareholder of securities company shall not have the following
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
appoints a new guarantor by obtain special resolution of the unitholders ; (1.2) The mutual fund management company reserved the rights in the scheme to dissolve the guaranteed fund or to withdraw the
Forms 56-1 and 69-1 Handbook on the Directors and Executives Database Guideline for Disclosure of Information in Invitation Letters to Shareholders' Meeting of Listed Companies to Obtain Approval for
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain