structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be
the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit
indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable
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
, such calculations are unfeasibly complex and onerous for the purposes of the Standard, and much of the data is in any case unavailable. By default, we therefore favor a methodology based on per passenger
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