other well-known ISO standards. ISO 26000 addresses seven core subjects: (i) Organizational Governance, (ii) Human Rights, (iii) Labor Practices, (iv) The Environment, (v) Fair Operating Practices, (vi
clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “investment” means an acquisition, disposal or holding of
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who
, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in
business is ........ ..... % (including voting rights in the business, held by A, B, C, D, and E as well as persons under Section 258 of the foregoing persons8 ) Remark: The above structure is only an
person, as well as the nature of such control. To the extent known to the issuer, indicate whether the issuer is directly or indirectly owned or controlled by another corporation, by any foreign government
exchange [large trader], and changes to the derivatives positions of such persons; (d) a real-time derivatives trading surveillance system. Clause 9 A derivatives exchange shall establish sufficient measures
business is .............% (including voting rights in the business, held by A, B, C, D, and E as well as persons under Section 258 of the foregoing persons 8 ) Remark: The above structure is only an example