imposes the sanction. The SEC Board imposes the sanction. End This is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a
Administrative Order Issuance is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a regulated person who is disqualified or fails
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
person qualified to be fund manager shall attend the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an
age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a training institute or having completed the courses that are approved by the Office; (4) Being
benefits. Insightful: Ability to comprehend all relevant aspects of issues in their entirety, including causes and factors affecting the capital market, in order to respond appropriately. Collaborative
Entity’s compliance with Domestic Law that is administered or made by the Requesting Authority. 2. The information exchanged may, subject to any restriction on the disclosure or sharing of information under
alignment of the reviewed SLB Framework with the Sustainability Linked Bond Principles 2020, as administered by ICMA. As part of this engagement, Sustainalytics exchanged information with various members of
draft prospectus, including other documents and evidence with the Office; (2) to review and comprehend the information regarding the issuer of securities and other relevant information and take actions to