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
include the following procedures: (1) gathering of evidence considered necessary for fact proving; (2) admission of evidence, explanation or opinion of the SEC Office, an alleged person or a witness or
diversity of perspectives to generate effective challenge, discussion and objective decision-making. 3.2 Diversity The board should disclose the company’s policy on diversity which should include measurable
include therein excessive transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering
prescribing a policy for prevention and management of conflicts of interest in accordance with Clause 17 of the Notification on Standard Conduct of Business , an intermediary shall include therein excessive
. Investee’s emissions include its Scope 1 and 2 emissions, which should be calculated according to the GHG Protocol. Investment emissions (category 15) include the operation of investments in the reporting year
of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of
stipulated in the first paragraph so as to enable an inspection by the Office. Affiliated transaction of the fund under the first paragraph shall not include the transaction in which any related person
transaction complies with the rules stipulated in the first paragraph so as to enable an inspection by the Office. Affiliated transaction of the fund under the first paragraph shall not include the transaction