investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents

matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any

Notification prescribing detailed rules relating to the matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case

to examine such implementation. Clause 5. In the case where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this

underpin sound eco- nomic growth and help reduce risks. Topics the Roundtable will examine in the future include: board nomination and election, shareholder engagement, and effective enforcement to encourage

meetings. The purpose of this type of engagement is to share our perspective with the board about what we view as a significant impediment to our ability to meet our investment goals, and to explore ways to

/Percentage) Remarks: besides application fee, an applicant should be responsible for expenses incurred from the SEC Official visit to examine working paper and audit quality control system of the audit firm

operational) Identify possible business exposures to climate-related risks (using the outputs of Step 4 as a starting point): examine transmission channels, identify climate-related risks and conduct an

efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages

approved. In such case, it is viewed that the executive shall explore the solutions so that the Company is least affected by the project and the Board of Directors will consider such solutions within