rectified financial statements. However, the SEC found that NRF has sufficient time to complete the rectification of the financial statements within the prescribed deadline. Since financial statements are
such services. The newly established company must apply for a license within one year from the effective date of the amended ministerial regulations. The consultation paper is available at: https
three years or upon occurrence of a widespread adverse incident; (2) To adjust the submission schedule for the Risk Level Assessment (RLA) report and IT audit report to be within the same period (during
could not rectify the problem within the specified period, which is deemed non-compliance with Clause 9(3) of the SEC Notification No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives
prepare and submit financial statements or reports on financial position and operating results, and must have a record of annual fee payment within deadline. The relief measure will take effect from 23
respondents, SEC has allowed more types of businesses within the four business groups to participate in a regulatory sandbox, as follows: (1) Intermediaries, i.e., securities investment advisory service
implement within six to 12 months following the signing of the MoU. Further details of the mutual recognition of funds scheme are set out in the SFC circular and the SEC circular issued today
supporters. The TCFD recommendations support more effective climate-related disclosures that enable investors and stakeholders to analyze and compare climate-related risk management of businesses within the
On 1 September 2020, SEC amended the regulations on the preparation of the annual registration statement (Form 56-1) and annual report (Form 56-2) by consolidating both forms into one called Form 56
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within