December 2011. Copulas, which provide a tractable way of modelling non-linear dependency among random variables, are employed under a financial time series framework. The model consists of two parts: the
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
external reviewer prior to issuing the auditor’s report. 3. Policies and procedures in case the portion of the audit fee of individual audit clients exceeds the ratio specified by the firm (“fee dependency
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
will be allowed to make investment without individual investment limit, similar to institutional investor, venture capital business, and private equity trust. Qualified /angel investor will be defined
high net worth individual only. To widen investors? investment choices of increasing return or creating variety and complexity of investment strategy, the AI funds will be allowed to invest in