form, and should indicate when the statement was last reviewed. It should include contact details of an individual who can be contacted for further information and by those interested in collective

organizational structure and indicate whether there are INEs at the global, regional or local level. B6 Whether the firm has designated a Quality Management (QM) partner who takes responsibility for the firm’s

indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and

payable, if other than the issuer. If any of the securities are to be offered for the account of a selling shareholder, indicate the portion of such expenses to be borne by such shareholder. Indicate the

Like the IOSCO CRA Principles, the IOSCO CRA Code is also intended to be useful to all types of CRAs relying on a variety of different business models. The IOSCO CRA Code does not indicate a preference

choose between a complex and a simple tax deduction option. Dependent variable is an indicator = 1 if choosing a complex tax incentive and 0 if a simple incentive. Numbers in parentheses indicate

Clause 4 as well as the following information: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of

: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus

, and shall also indicate the number of arbitrators for the arbitral proceeding at the same time of filing the dispute. Clause 9. After the officer assigned by the Office has examined the dispute filing

on their behalf, and shall also indicate the number of arbitrators for the arbitral proceeding at the same time of filing the dispute. (UNOFFICIAL TRANSLATION) - 4 - Clause 9. After the officer