approval: - the severity of the offence, - the impact on the capital market, - the evidence that may be used for establishing the guilt, and - the worthiness of imposing such penalties. Civil Sanction is
director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
being major shareholder of securities company; provided that severity of such person's behavior shall be taken into account. Further, the specified so period shall not be longer than five years from the
period of time or conditions for considering such person’s application for an approval to act as a mutual fund manager of the management company, taking into account the severity of behaviors of such
or conditions for considering such person’s application for an approval to act as a mutual fund manager of the management company, taking into account the severity of behaviors of such person on a case
faces 4 stakeholder-related ESG controversies linked to the two following domains: Human Resources and Business Behaviour. The frequency of the controversies is considered “occasional”6. The severity of
emanating from climate change can be event-driven (acute) such as increased severity of extreme weather events (e.g., cyclones, droughts, floods, and fires). They can also relate to longer-term shifts
Operators The Notification of the Office of the Securities and Exchange Commission No. SorThor. 39/2561 Re: Prescription of Factors in Determining Severity of Behaviors Which are Prohibited Characteristics