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
: (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
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
, 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
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
other than the issuer. If any of the shares are to be offered for the account of a selling shareholder, indicate the portion of such expenses to be borne by such shareholder. 15 Indicate the amount of any
variety of different business models. The IOSCO CRA Code does not indicate a preference for one business model over another, nor are the measures described herein designed to be used only by CRAs with large