certification programmes, including the Collective Action Coalition Against Corruption’s Self-Evaluation Tool. - Issue an Audit Committee Report to be included in the company’s annual report and to be signed by
--------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional --------------------------------------- Clause 12. Derivatives broker shall arrange to have
notification of the SEC Office. Chapter 3 Operation --------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional
Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________ Clause 13 Repealed. Clause 13/1 The derivatives broker
accordance with the criteria prescribed and notified by the SEC Office. Chapter 3 Operation ____________ Division 1 Client Contact, Solicitation, or Giving Advice and Professional Conduct _____________________
additional requirement for compliance by the applicant. Chapter 4 Conditions for approval _______________________ Division 1 General provisions _______________________ Clause 22 An approved person under
institution under the law governing interest for lending of financial institutions. (6) having at least one full-time supervisor who shall be an approved person by the Office in accordance with Division 2 of
actions taken were as follows: Board of Directors Risk Management and Control Units Enterprise Risk Management Division Approve risk appetite and all risk management policies and guidelines Oversee