", "institutional investors", "executives", "controlling person", "short- term bonds" and "structured notes" shall have the meaning given to them under the Notification of the Securities and Exchange Commission on
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
inspection as follows: (1) Communicate with the related personnel to be aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2
importance on supporting functions, which are in harmony with our business directions that focus on effective, timely and proactive integrated risk management (IRM), internal operation efficiency, maximized
critical to underscore the importance of better climate-related financial disclosures for the functioning of the financial system. The Task Force is not alone in its work. A variety of stakeholders
. Such rules will place importance on risk management and internal control system, compliance system, prevention of conflict of interest, and qualified staff. In terms of investor engagement, know your
principles for governments to follow in developing their regulatory frameworks, recognising the importance of supervisory, regulatory and enforcement authorities in ensuring effective implementation. Broad
SEC Office shall have the authority to specify the timeframe or conditions for its consideration of subsequent applications by taking into account the significance of the prohibited qualifications
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
have the same meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group