trading at the intermediary’s place of business for a period of not less than five years from the date of investment in a manner that supports an inspection by the SEC Office without delay. Chapter 2
information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be prepared in writing with an approval from the company’s board of directors
interest and leaking of information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be prepared in writing with an approval from the
management system, a system to prevent conflicts of interest and leaking of information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be
not have any relationship with the Company and Modern Street and is not connected person of the Company and Modern Street 4) Characteristic of the transaction 4.1) General Characteristic of the
) ………………………………………………………………………………………………………………………………………………….… ………………………………………………………………………………………………………………………………………………….… Wish to express an intention to apply for an SEC Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a seven-day expiry from the SEC
tons per year, 0.5 million tons of which was recycled, leaving the unrecycled waste of 1.5 million tons mainly because it had not been sorted at the source. This was considered as loss of opportunity
Code should receive the full support of CRA management and be backed by thorough compliance and enforcement mechanisms. However, the measures set forth in the IOSCO CRA Code are not intended to be all