companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management
direct regulation of CRAs and may incorporate elements of the IOSCO CRA Code itself. Finally, the IOSCO CRA Code only addresses measures that CRAs should adopt to help ensure that the Principles are
consider the following matters: (1) a waiver of an event of default under the terms and conditions for the bond issuer’s modification of the debt repayment and/or negotiations of debt restructuring with
higher than the minimum price as appraised by IFA if EMC is not able to satisfy the condition precedent. Moreover, the Project is exposed to legal risks on the issues of building modification; uncertainty
each category of the level of secret, both direct access and indirect access, including the destroy method for information in each category of the level of secret. [M] · Transmission of importance
asset such as customer’s information or information of investment units incorrect because of computer system assessment or modification by the unauthorised person”etc. (Translation) -4- Segregation of
and take precedence over the IOSCO CRA Code. These laws and regulations may include direct regulation of CRAs and may incorporate elements of the IOSCO CRA Code itself. Finally, the IOSCO CRA Code only