that such redemption may cause liquidity problem to the mutual fund and thus affects other unitholders. For, funds of funds and feeder funds investing in large overseas funds, however, the redemption may
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
offered at the market price during the offering period. The revised provisions cover the key areas, as follows: 1) Approval: to screen the applicant?s corporate governance records whether or not
information by requiring lead underwriters in the initial public offerings (IPOs) to issue 4 consecutive quarterly research papers for IPO shares. The requirement will help solve the problem of lacking research
plays the role of promoting and developing the professional standards of financial advisors as they help to select and screen the quality of companies applying for listing in the stock market while also
for utilising resources more effectively. Having realized the importance of solving the problem sustainably and comprehensively through the involvement and cooperation of the civil society, public
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
). Moreover, audit firms will be enabled to screen quality of their auditors prior to filing with the SEC the applications for approval as capital market auditors in order to encourage the audit firms to take
Asset Advisor, Digital Asset Fund Manager, and Custodial Wallet Provider. In this regard, it is important to ensure that licensing process effectively screen the readiness and qualifications of the
services to its customers by preparing and submitting a correction plan for maintenance of NC within 30 days and resolving such problem within 90 days, during which periods customers and stability of the