public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
obligation for this acquisition or disposition: 8.1 Shares ( ) Common shares ( ) Preferred shares 8.2 Convertible securities ( ) Warrants ( X ) Convertible debentures (CD) ( ) Transferable subscription rights
( ) Warrants ( ) Convertible debentures (CD) ( ) Transferable subscription rights (TSR) ( ) Derivative warrants (DW) 8.3 Others (please specify) Information to be provided under item 9, 10 or 11 shall depend on
( ) Preferred shares 8.2 Convertible securities ( ) Warrants ( ) Convertible debentures (CD) ( ) Transferable subscription rights (TSR) ( ) Derivative warrants (DW) 8.3 Others (please specify) Information to be
Convertible securities ( ) Warrants ( ✔ ) Convertible debentures (CD) ( ) Transferable subscription rights (TSR) ( ) Derivative warrants (DW) 8.3 Others (please specify) Information to be provided under item 9
8.2 Convertible securities ( ) Warrants ( ✔ ) Convertible debentures (CD) ( ) Transferable subscription rights (TSR) ( ) Derivative warrants (DW) 8.3 Others (please specify) Information to be provided