possible that those committing predicate offences under anti-money laundering legislations may use securities transactions to launder illegal proceeds, risks may be posed to the securities companies in
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
investment plans to help attract private investment to climate solutions, introducing carbon pricing, enforcement of laws to protect against illegal deforestation and introducing policies to reduce legal
year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act which may be unlawful or non-compliance with the relevant rules, and the
particular calendar year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act which may be unlawful or non-compliance with the relevant rules
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