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for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
derivatives exchange for the acknowledgment of members or involved persons of the derivatives exchange. Clause 17 Derivatives exchanges shall establish adequate measures to prevent directors, executives, sub
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics
legal proceedings under the law governing securities and exchange and notifications issued by virtue of the said law. Clause 5 Other than the reasonable grounds of lack of qualifications or possession of
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
Exchange Commission KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 5. Notification of the Securities and Exchange Commission