Governance (ESG) factors in their business practices. Furthermore, in the event that an Investee Company fails to implement ESG principles, the Institutional Investor should engage with the Investee Company to
......................................................................................................................... 9 A Spectrum of Engagement Intensity ................................................................................................................11 Effective Letter-Writing
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as
grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as
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
> The SEC Office's organization structure Our Structure SHARE : Detail Content The SEC Office's o rganization structure The SEC Office’s primary role is to implement the resolutions and policies set
> The SEC Office's organization structure Our Structure SHARE : Detail Content The SEC Office's o rganization structure The SEC Office’s primary role is to implement the resolutions and policies set
provisions of Domestic Law, the Authorities may cooperate: (a) on an ongoing basis or ad hoc; (b) orally or in writing; and (c) upon request or on their own initiative (i.e. without a formal request). 6