severity and any delays in resolving them would reflect poorly on the ability of firm leaders to discharge their responsibilities successfully, resulting in the SEC lowering the score of their TSQC1 element

stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s

communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company’s employee who can provide such information to the client at the

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to

procedure to evaluate the effect of the identified deficiencies? If yes, please describe those criteria and procedure. B3 Does the firm communicate (Audit Compliance Review Report) with specific corrective

) Locating the right target audience and drive product awareness with 100% view-ability, 2) Encouraging products to sampled at home, where consumers are generally more receptive, 3) Obtaining product user

geography. 2. Process for Project Evaluation and Selection The issuer of a Green Bond should clearly communicate to investors: • the environmental sustainability objectives; • the process by which the issuer

listed on the Green, Social and Sustainability Bonds Database. 2. Process for Project Evaluation and Selection The issuer of a Social Bond should clearly communicate to investors: • the social objectives

reflected in financial statements. Investors need access to information on how companies are managing such factors when assessing a company’s present and future valuation and the company’s ability to