management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by

Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification. (Unofficial Translation) - 3 - Chapter 1

, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification

September to the 15th day of December of the year when such approval will expire. Please enter search criteria. Name - Surname Or Approval Identification Number Specify Name or Surname Specify Approval

need to disclose how climate change impacts their business model across four key pillars: • Governance • Strategy • Risk management • Metrics and targets 1) Board oversight 2) Management’s role 1) Risks

and Audit Oversight >   Auditor Supervision >   Related Forms Regulations SHARE : Detail Content ​​​​Financial reporting and audit oversight   2. Auditor supervision 2.5 Related Forms  Related Forms  1