be defined differently under regional and national laws. As noted above, laws and regulations of the jurisdictions in which CRAs operate vary and take precedence over the IOSCO CRA Code. A-5 -time
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter
regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the
denied inclusion into the database of the list of directors and executives of securities issuing companies due to possession of prohibited characteristics; 7. being under the period prescribed by an order
or investment vehicle. Unless otherwise noted, all indices are Total Return indices.
an understanding of the IOSCO CRA Code. These terms may be defined differently under regional and national laws. As noted above, laws and regulations of the jurisdictions in which CRAs operate vary and
applicant shall declare the possession of the following systems; 1. Systems for selecting custody agent to ensure that such custody agent has operational systems relating to asset custody, as specified by the
shall declare the possession of the following systems; 31. Systems for selecting custody agent to ensure that such custody agent has operational systems relating to asset custody, as specified by the