restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having
laws3 Specify the applicable laws on debt securities 1.1.4 Clarify the obligations to which the Company has committed in the registration statement for securities offering and/or the approval conditions
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples
directors, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (5) Not being involved in the management of any mutual fund in such a way