refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
(name of agency)....…………………....……..…..(document attached) (if any) O no 6.14 Pending under prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial
prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be
custody of clients’ assets shall be made in writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent
writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent and the person to be responsible for damage of
commits to social, environmental, ethical and transparency requirements, which include working hours, prohibition of child labour, management of hazardous substances, conflicts of interest and economic
Working Group and Industry Working Group for their time and valuable expertise that helped shape these Criteria. A full list of all TWG and IWG members can be found in Appendix 1 and on our website. https