SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a better understanding of climate risks so that they can combine their knowledge and relevant available information to enhance their capability to deal with climate change; (2) to make asset management companies, as an institutional investor, understand the risks and effects of climate change on b...
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
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Social Bond Principles Voluntary Process Guidelines for Issuing Social Bonds June 2020 Principles Introduction The Social Bond market aims to enable and develop the key role that debt markets can
fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
Social Bond Principles Voluntary Process Guidelines for Issuing Social Bonds June 2021 Principles June 2021 Social Bond Principles Voluntary Process Guidelines for Issuing Social Bonds Introduction
our partners: 6 7 Time (GMT+7) Topic Speaker 09:00-09:10 Welcome Address John Leung Director CDP Southeast Asia and Oceania 09:10-09:25 Introduction to TCFD and regulatory trends Elizabeth Lo Senior
Page 2 of 12 Contents CONTENTS 2 INTRODUCTION 3 SOLAR BOND MARKET AND POTENTIAL FOR GROWTH 3 HOW MANY BONDS EXIST ALREADY? 3 HOW CAN BOND CERTIFICATION HELP GROW THE MARKET? 3 KEY ISSUES IN DEVELOPING
Abbreviations 2 List of Tables and Figures 2 Definitions 3 1 Introduction 5 1.1. Overview of this document 5 1.2. The Climate Bonds Standard 5 1.3. The need for Waste Management Criteria 5 1.4. Assets and