Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A
stewardship. Institutional investors should not, however, be expected to make disclosures that might be counterproductive. Confidentiality in specific situations may well be crucial to achieving a positive
as a brief description of the projects, the amounts allocated, and their expected impact. Where confidentiality agreements, competitive considerations, or a large number of underlying projects limit
derivatives positions; (b) instruct the closing out of derivatives positions; 4 (c) limit derivatives positions; (d) limit derivatives trading volume. (2) establish the rules requiring members to obtain a
the first paragraph shall be based upon the factors specified in Clause 14. In case of intentional or gross negligent violation which causes the violator to obtain ill gotten gain or causes damages to
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
experiences in the following topics: Measures to maintain clients’ confidentiality and the audit of securities investment of staff of audit firms in the capital market. Guidelines on audit of transactions
or through mutual agreements. The chapter also supports stakeholders’ access to information on a timely and regular basis and their rights to obtain redress for violations of their rights. V