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of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
, Obligors, Underwriters, and Arrangers; Governance, Risk Management, and Employee Training; and Disclosure and Communication with Market Participants. TERMS For the purposes of the IOSCO CRA Code:5 under
Company or the subsidiaries exposed to potential corruption involvement; (2) Guidelines for controlling, preventing and monitoring corruption-related risks; (3) Employees communication and training on
risks; (3) Employees communication and training on policies and guidelines for anti-corruption; (4) Guidelines for monitoring and evaluating the implementation of the anti-corruption policy; (5) Review of
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a securities
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists