personal data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the
questionable corporate governance issues that could lead to a conflict of interest. (Normally, institutional investors may use several measures such as seeking clarification in writing, meeting with independent
data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the
data received: The personal data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be
database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the Enterprise Content Management System (ECM), the
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
entities, obligors, originators, underwriters, and arrangers, on one side, and users of credit ratings on the other. Rating analyses of low quality or produced through a process of questionable integrity are