element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what
of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal Sanction
provided the collection and assessment of customer information (Know Your Customer / Customer Due Diligence) (KYC/CDD) systems for Satang to operate its business in accordance with relevant laws, regulations
: Type of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal
other best practices at investee companies by engaging with them on pertinent financial and other relevant matters. This should help foster sustainable long-term performance by these companies to the
website also provides information on corporate social responsibility and anti-corruption gathered from relevant authorities. Assessments in the said areas both at the country and corporate levels have been
(AI funds) invested in more variety and more complex debt securities. On supply side, new bond issues from new issuers are accordingly in need. ?The SEC promotes diversity of fund raising channels for
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Derivatives Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work
need to use the relevant Sector Eligibility Criteria in its selection processes. These Sector Eligibility Criteria may contain more complex eligibility criteria or technical requirements when compared to