, the amended financial statements and the report of the amendment must be disclosed publicly via SETLink by 19 December 2024. ____________________ Remark: * SEC News No. 198/2024 headline: SEC files a
In case the customer files a complaint to the SEC Office which delivers the complaint to a derivatives broker, the derivatives broker shall report the results to the Office within thirty days from the
) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
throughout the period of participating in the regulatory sandbox; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing services to clients
service provision appropriately and adequately throughout the period of participating in the regulatory sandbox; (b) assessing and managing potential risks from service provision; (c) having procedures for
, the CRA should refrain from issuing a credit rating. 1.5 In assessing creditworthiness, analysts involved in the credit rating action should use the credit rating methodology established by the CRA for
files the Registration Statement and draft prospectus together with filing the application to obtain approval, it shall be deemed that the submitted Registration Statement is the evidentiary documentation