act that may be unlawful or non-compliance with the relevant rules, and the intermediary shall take the following acts at a minimum: (1) inform the foreign personnel of the scope of performance of duty
unlawful acts in other cases. ✓ ✓ ✓ Summary of the types of auditor’s reports (Form 61-4)* *Since 1 December 2020, this information has no longer been required. ✓ ✓ Related party transactions (RPT) of the
such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence, for example, efficient records of
-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence, for example, efficient records of conversations while
jurisdiction in which Brookfield is not licensed to conduct business, and/or an offer, solicitation, purchase or sale would be unavailable or unlawful. Information herein contains, includes or is based upon
investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance
information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence
system to protect clients’ information, particularly trading information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for