integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
follows: Protection of shareholders' right and fair treatment of shareholders Transparent and fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or
. The following diagram summarizes discrepancies and similarities of an Infrastructure Fund (IFF) and Infra Trust. Regulatory Summary Structure of infra trust The major rules Investments in
of an Infrastructure Fund (IFF) and Infra Trust. Regulatory Summary Structure of infra trust The major rules Investments in infrastructure assets A Trust for high net-worth investors vs retail
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having