accordance with the following criteria in order to implement the information technology governance policy of the intermediary specified under Clause 5: (5) internal control for the operation in accordance with
follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Business Operators Mutual Fund Registered Person Cross-border
to regulation. 5. Scope of interests of Connected persons KYE and MTC got a joint major shareholders as follows:- - Mitsubishi Electric Corporation holds 9,048,020 shares or 41.13% of the share in KYE
another challenging year ahead. But our collective efforts to proactively implement the SEC Strategic Plan will yield tangible results and contribute to the robustness of the financial system and the
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
. Moreover, there was a high base in Q4’2017 since the market reacted to an announcement of the new excise tax imposed to RTD Tea before the regulation became effective in mid Sep’17. Although the challenging
prevention and control and/or protection and restoration of biodiversity and ecosystems. The EU Taxonomy includes technical screening criteria (TSCs) that are both qualitative and quantitative, and although
purpose of the provision in the first paragraph, a beneficial owner of shares includes any beneficial owner of shares prescribed under the fourth paragraph of Section 25; (12) “Ministerial Regulation