or in part, without the prior written consent of Morningstar is prohibited. The Morningstar Investment Management division is a division of Morningstar and includes Morningstar Associates, Ibbotson
& Informed Consent (FPIC) Requirement .......................................................................................................... 17 3.9 Best Practice for Disclosure
with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain
of the Securities and Exchange Commission regarding Determination of Definitions of Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor. “private equity” means a business
anticipated) using recognized methodologies and frameworks, such as NZIF, SBTi and TSP for setting, assessing, reporting, and verifying performance. Set decarbonization targets for all high-emitting sectors
178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed
emissions, and those that remove and store greenhouse gases from the atmosphere. Examples include purchasing high quality, jurisdictional REDD+ carbon credits that support countries in raising the ambition on
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries