SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
the requirement for hardcopy submission to SEC. “SEC will continue working on the projects under the regulatory guillotine scheme with commitment and seriousness throughout 2021-2022 to reduce
groundwater recharge or water filtration. Thus, a pre-existing wetland may be protected or enhanced to improve water quality as a natural feature, while a designed “new” wetland built as an adjunct to a water
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
depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently
Factors for Consideration ___________________________ Clause 12. In considering the seriousness of behaviors constituting the third category of prohibited characteristics or undertaking under Clause 11, the
guidelines to seek ways to improve the policies and operations of the SEC, by applying the principles of good public governance as laid out by the Office of the Public Sector Development Commission and the
will simultaneously improve the other elements’ effectiveness. Determined to solidify financial reporting and audit quality, the SEC aims to strengthen all elements of TSQC1 and has, therefore, raised