Currently, asset management companies have roles in reporting their portfolio outward foreign and derivatives of mutual funds and provident funds to both SEC and BOT on a monthly basis. In order to reduce the asset management companies’ reporting burdens, SEC held a discussion with BOT and reached a joint decision that BOT would use information in the report that mutual fund and provident fund operators file with SEC, instead of using BOT’s portfolio and derivative investment aboard (PI...
. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for
preserved information media and duplicate the procedure or compliance guideline in other place for security in case of he operational place damaged and providing the entrance controlling and damage prevention
statements. The request was made on the ground that the independent financial advisor is in process of exploring and gathering documents and evidence as well as more information from overseas authorities for
fines. Meanwhile, the SEC is nearly complete the evidence-gathering process concerning other SHIN-related allegations of which the SEC Board directed a thorough and urgent examination, including the
submission deadline to July 2, 2012 to allow it more time to complete the process of gathering accounting documents and evidence as well as preparing supplementary details to satisfy the auditor?s audit
brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2) KYC providers, gathering and
issue through a website, being designed in any form that allows people to make comments. Such form extends from a website gathering investment news with a feature for outsiders to make comments, a web
complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more