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
managed by a Covered Management Company, authorised, approved, seeking authorisation, or seeking approval on a cross-border basis in accordance with Paragraph 3 of this MoU. (e) “Covered Management Company
complaints cannot be settled at that level, both parties can then agree to enter into the arbitration process administered by the SEC. The process is designed to allow investors to seek compensation through an
highest score on the ASEAN CG Scorecard (a gauge administered by the ASEAN Capital Market Forum) in the region for a second consecutive year. The SEC places considerable importance on enabling and
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
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