under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the professional ethics or standards as stipulated by an association under the
and rules issued under such laws, including the performance standards as specified in the notification of the Office or by the association with the approval of the Office; and (4) Refrain from violating
Office; and (4) Refrain from violating the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any
equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a
best interests of clients; (2) the derivatives broker shall give equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from
clear decision either in favour or against each resolution. © International Corporate Governance Network (2013) 15 In defined or specific cases, institutional investors may wish to abstain in order to
whether the CRA can determine a high quality credit rating for the security, the CRA should refrain from issuing a credit rating. 1.5 In assessing creditworthiness, analysts involved in the credit rating