custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
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procedures, and other relevant systems for carrying out the external review. 2. Employ appropriate staff with the necessary experience and qualifications for the scope of the external review being provided. 3
stewardship initiative on human rights and social issues (recently launched) Collaborative Sovereign Engagement on Climate Change (pilot) Resilient Natural Systems (RNS) Collaborative Stewardship Initiative PRI
Notification of the Office of the Securities and Exchange Commission governing providing of work systems for proprietary securities investment; (6) purchase or sale for its own proprietary portfolio to manage
securities underwriter has put in place a system for prevention of conflicts of interest under the Notification of the Office of the Securities and Exchange Commission governing providing of work systems for
system for prevention of conflicts of interest under the Notification of the Office of the Securities and Exchange Commission governing providing of work systems for proprietary securities investment
under the Notification of the Office of the Securities and Exchange Commission governing providing of work systems for proprietary securities investment; (6) a purchase or sell for its own proprietary
Exchange Commission governing providing of work systems for proprietary securities investment; (6) 13 a purchase or sell for its own proprietary portfolio for risk management in case the securities