in Group 3 under Clause 31, or in deliberating an action under Clause 35, the SEC Office shall take the following factors into consideration: (1) relevant roles and demeanors of persons being
action under Clause 35, the SEC Office shall take the following factors into consideration: (1) relevant roles and demeanors of persons being considered; (2) [other] penalty which such person has already
depositories shall take at least the following actions: (1) clearly determine roles and responsibilities of the board of directors and executives; (2) evaluate the performance of the board of directors and
condition or operating performance. X. DIRECTORS, SENIOR MANAGEMENT AND EMPLOYEES A. Directors and Senior Management 1. Identify directors and senior management of the issuer who play critical roles in the
directors and senior management of the issuer who play critical roles in the success of the issuer’s operations, and disclose their business experience, functions, and areas of experience within the issuer to
keeping with the overall economic activity improvement. Furthermore, exports and tourism will continue to play pivotal roles in the economy even though their growth may subside over-year due to a high 2017
support units with clearly-defined roles. They are, i.e., 1. Quality Assurance Unit which checks and confirms transactions with customers to ensure their real demand and consistency with each customer’s
, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having appropriate, reliable and efficient operating system to support an intermediary ’s
clearly, thoroughly and obviously; (2)3 determining organization structure, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having