concerning subsequent issues of other forms or series of debt securities; and g. covenant concerning any right to create additional charges over any of the assets. 2 2. For secured debt securities, other
, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the
management company shall carefully invest or seek benefit for a fund from securities, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other
a fund from securities, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the
intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested
reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the
the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to
, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice on securities investment
personnel whose duty, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice
personnel whose duty, responsibility, or nature of operation may create conflicts of interest. At least, it shall separate the work units and personnel responsible for contacting, soliciting, or giving advice