, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1
with higher risk. Lastly, the government’s policy aimed to promote and support small and medium enterprises (SMEs)’ growth and facilitate their access to sources of fund in the capital market. Given such
inspection cycle result, when considered with the exposure to the capital market, set out the frequencies of inspection on audit firms’ quality control systems as defined by our risk-based approach as follows
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
related operational risk, and evaluate risks both internal and external that could affect the operation and the SEC’s strategic plan. Subsequently, control activities and working procedures are set up to
Next, we evaluate the fund returns with respect to the Carhart (1997) 4-factor asset pricing model to get the risk-adjusted return, alpha. Specifically, for each fund 𝑖, we estimate 𝛼𝑖 using the
TCFD Disclosure and Climate Risk Sam Cheung Investor Account Manager OUTLINE Overview of the TCFD Climate-related risks and its characteristics Leveraging CDP to improve TCFD alignment Resources 2
sustainability challenges such as climate change. Governance and risk management The sustainability strategy is led by a corporate team in the global headquarters in London and deployed by dedicated teams in the
sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020