of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must gather information on name, last
identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1
facts which the SEC Office has gathered and presented under Clause 19 and is of the opinion that the person under consideration has any behaviors under Clause 16, provided that the resolution is obtained
be on 2 August, 2017 and the list of shareholders is to be gathered according to section 225 of the Securities & Exchange Act by closing the shareholders’ registration book on 3 August, 2017. Please be
Administrative Sanction Clause 6. When the SEC Office has gathered the facts and preliminarily considered that any person has the behavior that should be subject to the administrative sanction, the following
with the five core components of the SLBP 2020. Our sources of information are multichannel, combining data from (i) public information gathered from public sources, press content providers and
dissemination.13 Clause 11/1.14 In rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and
beta equity funds gathered a record total of $61.3bn – nearly a third of 2013 global industry flows – with asset growth of over 40%. In 2013, Strategic Beta attracted 1/3 of flows to passive investment
shareholder rights.) A Spectrum of Engagement Intensity Donna Anderson, T. Rowe Price LIGHT ENGAGEMENT High number of brief engagements Fewer resources devoted to each engagement HEAVY ENGAGEMENT Low number of