financial institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and
damages the well-being of society or a specific target population. For the avoidance of doubt, it is acknowledged that the definition of target population can vary depending on local contexts and that, in
avoidance of doubt, this Paragraph 5 does not apply to the notification of non-public information for any Enforcement Purposes in the jurisdiction of the Authority receiving the information, which will be
ec ti on A ct iv it ie s Re po rt 1 J an ua ry 2 01 3 - 31 D ec em be r 20 13 comparison was not carried out. Audit procedures were not performed to assess the reasonableness and reliability of the
Eligibility Criteria for Waste Management These Criteria cover waste management operations for waste once it has become waste. For the avoidance of doubt, all mobile plant used at waste management facilities
personnel; · require principals and staff to be alert to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a
to threats and report them promptly; · require the Ethics Partner to assess the implications and determine whether any safeguards or whether there is a need to resign; · require the documentation
2 years of historical data (including the baseline), Vigeo Eiris is not able to appropriately assess whether these targets go beyond BAU or not, in compliance with the SLBP. First, the SLBs’ SPTs are
Legislative Drafting and Evaluation of Law B.E. 2562 (2019), any government body that upholds the power to enforce a law is required to assess effectiveness of the law within a specified time. Hence, the
, which would help the visitors assess their risk tolerance before choosing financial products accordingly. Visitors are also welcome to participate in the SEC quiz games on the capital market and