pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
necessary action can be taken; SEC treats all complaints equally, whether they are submitted by individuals or a group of individuals, and through any channels. Matters under the SEC Responsibility
) International Forum of Independent Audit Regulators (IFIAR) ASEAN Audit Regulators Working Group Cooperation with Foreign Regulators Alternative Investment Fund Managers Directive (AIFMD) International
may be affected; · To study international supervisory measures or standards and analyze their pros and cons; · To consult with the practitioners by arranging focus group
may be affected; · To study international supervisory measures or standards and analyze their pros and cons; · To consult with the practitioners by arranging focus group
performed duties responsibly with due care pursuant to Section 89/9 of the SEA, the following factors must be taken into account: (1) Decision has been made with honest belief and reasonable ground that it is
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain