underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (Translation) - 2 - (3) The securities companies
underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (Translation) 2 (3) The securities companies
services and, in particular, fintech, have played a critical role in supporting businesses and individuals through the Covid-19 pandemic. Now financial services have an equally important role to play as we
upon such information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is
. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the
the Securities and Exchange Commission personal data any information that can be used to identify a natural person, both directly or indirectly, but shall not include, in particular, any information
, including reasons for not following any particular Principle or Sub-Principle, and alternative practices (if any) that can fulfil the intended outcomes of the Principles and Sub-Principles. 2. disclosed in
importantly, vaccines are now available in many countries. Such significant progress would not have been possible without the efforts and unity from all parties, in 2 particular the sacrifice from the front
. Communication and education will be emphasized, apart from enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter
, including reasons for not following any particular Principle or Sub-Principle, and alternative practices (if any) that can fulfil the intended outcomes of the Principles and Sub-Principles. 2. disclosed in