fiduciary duty of institutional investors and their fund managers to take into account all of the information which assists in identifying and mitigating risk on the one hand, and assists in identifying
In cases where the SEC Office considers that it is necessary and expedient, with the applicant’s consent, the competent officer shall be empowered to enter into the place of business or address of such
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
point to be used (including date/period), where relevant; (vi) Situations in which recalculations or pro-forma adjustments of baselines will take place, where relevant; (vii) where possible and taking
Capital Market Supervisory Board. In making consideration, the SEC Office shall take into account the degree of seriousness of such prohibited characteristics; (4) being a government official or an official
Capital Market Supervisory Board. In making consideration, the SEC Office shall take into account the degree of seriousness of such prohibited characteristics; (4) being a government official or an official
in cash and generate a flow of receipts in accordance with the rules specified by the SEC. “originator” means a person that transfers or will transfer an asset to or places or will place an asset with
flow of receipts in accordance with the rules specified by the SEC. “originator” means a person that transfers or will transfer an asset to or places or will place an asset with a special juristic person