Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.
and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the
. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. By
Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities
SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. 23/05
2535 91 12/03/1992 16/05/1992 2. Notification of the Office of the Securities and Exchange Commission SorThor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as
the requirement for hardcopy submission to SEC. “SEC will continue working on the projects under the regulatory guillotine scheme with commitment and seriousness throughout 2021-2022 to reduce
Factors for Consideration ___________________________ Clause 12. In considering the seriousness of behaviors constituting the third category of prohibited characteristics or undertaking under Clause 11, the