ninety days in that particular calendar year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act that may be unlawful or non-compliance with
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
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
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