processing and confirming the redemption orders in violation of the tax terms;             (2) In the case of {B}, she was found to sign the redemption orders without double-checking the correctness of

an order can be modified or cancelled Q3/2024 2.4 Enhance monitoring quality of securities companies • Ex., Implementing the Know Your Process (KYP) for foreign securities company clients / checking

expedite the investigation of this particular case. The task force has already conducted interviews with over 400 victims and collaborated with the SEC in verifying relevant information to support

anticipated) using recognized methodologies and frameworks, such as NZIF, SBTi and TSP for setting, assessing, reporting, and verifying performance. Set decarbonization targets for all high-emitting sectors

draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case

Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the

expedited the process of verifying suspicious scam reports and promptly notify relevant authorities to shut down fraudulent contents or channels used for investment scams. Under this initiative, the SEC has

Unofficial translation FORM 35-E3 Letter of Request for Checking the Director and Executive Qualification (Inspection of the director and executive’s qualification on the individual’s request

SET to consider reviewing and checking whether or not the criteria still reflect true distribution of shares to minority shareholders amid the changing market conditions.”  The price of DELTA shares

participation in the campaign, featuring three tech-based and target-driven initiatives, i.e., (1) SEC Check First, an application for verifying the status of service providers and capital market products