; Educating and warning investors to ensure they have sufficient knowledge for decision making and exercise discretion when being solicited to invest in unlicensed or illegal businesses. SEC and Investors Be
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
. The risk management policies should support identification and prioritisation of early warning signals of material risks. The risk management policies should be reviewed regularly, such as annually
2019 whereby clients will no longer be able to purchase, sell or trade digital assets via Bitcoin website ( SEC News No. 105/2019 ) SEC warns BX clients to keep away from unsolicited transfer of
required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
transfer restriction, features of the instruments, draft terms and conditions and a Sukuk trustee appointment agreement (in case of secured Sukuk/ Sukuk with a Sukuk trustee). - Can be offered only to
company shall establish a system for redemption of investment units, and a system for examination of purchase or redemption of investment units. (2) Transfer of investment in investment units, as well as
Transferable Subscription Rights (TSR) is an instrument to enable investors with liquidity to sell or transfer their subscription rights. TSR is an instrument issued by a listed company to existing shareholders