serious, thoughtful investor who deserves to be listened to. *In the interest of transparency, letters to public officials should be disclosed on your website. [ 15 ] Grounds for exclusion: Rule 14a-8(i
, and the adjudication of the court of justice, respectively. In this regard, the SEC will monitor progresses in the legal proceedings and will cooperate fully with relevant agencies to support legal
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
approved by its board of directors. UNOFFICIAL TRANSLATION Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
continuity management that is approved by its board of directors. Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate