Office; and (4) Refrain from violating the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any
and rules issued under such laws, including the performance standards as specified in the notification of the Office or by the association with the approval of the Office; and (4) Refrain from violating
equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a
best interests of clients; (2) the derivatives broker shall give equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from
. (5) in any case, if the REIT manager is unable to perform duties, the trustee has to manage the REIT as necessary to prevent, desist or limit severe damage to the interest of the REIT or the entire
whether the CRA can determine a high quality credit rating for the security, the CRA should refrain from issuing a credit rating. 1.5 In assessing creditworthiness, analysts involved in the credit rating
and delegation based the responsibility of each executive director. For the year in which the Company incurs a net loss or insufficient profit, the Board of Directors will refrain from consideration of
) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this Notification, to [i] amend or refrain to act or [ii] act any