and Clause 4 shall apply to temporary executives, plan preparers, plan administrators and temporary plan administrators in accordance with the Law on Bankruptcy, mutatis mutandis, and in the case where
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
executives must be reported pursuant to section 59 of the Securities and Exchange Act which may be burdensome and affect the confidential information on the salary. Therefore, if EJIP is approved by the SEC
Private Placement (Checklist PP Shares) Report on Changes to the Securities and Derivatives Holding of Directors, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information
operators in the capital markets who plan to apply fintech must comply as follows: (1) Set a policy on fintech application at board or executives level; (2) Have personnel understand the basic
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
and Presentation in Analyst Research Reports” for capital market professionals i.e., securities analysts and fund managers. CFA Institute contributes the Guidelines to incorporate ESG factors into their
investors should understand, minimise and manage the conflicts of interest that they face and behave ethically, ensuring that they maintain focus on advancing beneficiary or client interests and disclosing
/2561 Re: Preparation of Report on Changes in the Securities and Derivatives Holding of Directors, Executives, Auditors, Plan Preparers and Plan Administrators carefully to ensure complete and accurate
. Most of the respondents expressed agreement with the principle proposed.Therefore, SEC has drafted a notification requiring asset management companies and trust managers which make a projection of