important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
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
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged
competence or taken professional course prescribed (if any). Registration with the institute of appraisal profession It shall be deemed that an appraisal company and natural person, who have been registered
limitations (the case of holding more than one-third of total outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding