non-public information, operational rules for the prevention of the disclosure of confidential information should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the
neither account owner nor account owner's appointee; failing to keep confidential client's information; and failing to keep records of investment advice and clients' trade order instructions; in violation
foreign funds) Fund name: ………………….. Web link: …………………….. Fund name: ………………….. Web link: …………………….. Fund name: ………………….. ISIN code: …………………….. Bloomberg code: ……………… Fund name: ………………….. ISIN code
Table Table Table Table Class Code Investment exceeding 20% of NAV in other funds (domestic funds and/or foreign funds) Fund name: ………………….. Web link: …………………….. Fund name: ………………….. Web link
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
the SEC Office for updating the information at all times. 3 . We acknowledge and agree that we have the duty to oversee and keep confidential the Username and the Password of Company Account which we
duty to oversee and keep confidential the Username and the Password of the SEC Account which we have received from the SEC Office without disclosing and allowing them to be used by any unauthorized
We acknowledge and agree that we have the duty to oversee and keep confidential the Username and the Password of the SEC Account which we have received from the SEC Office without disclosing and