profitability. 4. Describe the material effects of government regulations on the issuer's business, identifying the regulatory body. E. Group Structure If the issuer is part of a group, provide information about

controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

for risk controlling [M] o Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy o Identifying clearly the purpose and scope

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

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

goals will be on building efficiencies, creating standards, identifying new alternative channels to reach targeted client segment while maintaining an effective risk management and credit monitoring and

may include when voting on matters affecting a parent company or client. Institutional investors should put in place, maintain and publicly disclose a policy for identifying and managing conflicts of

, and identifying and assessing risk of fraud and response to those risks. Example 4 : The disclosure checklist did not contain current disclosures as required by other regulatory bodies such as the SEC