as collateral for securities trading of any person; (6) allowing any person to receive benefits or oversee payments related to or because of one’s own securities trading; or (7) transferring or
person who is eligible to be EQCRs to possess experience and expertise in the industry to ensure that the EQCRs will have sufficient knowledge, competency, and experience to elevate the audit quality
money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting any person to subscribe or
, representing the right of the holder of such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
: ................................................................................................................................................ Through the Representative(s) of the juristic person / non-juristic group of persons as follows: (1
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
authorized person acting on behalf of the juristic person, as expressly demonstrated by the intention of the juristic person or the non-juristic group of persons and such juristic person or the non-juristic