structured notes that has already been approved: (1) there is a clear fact leading to the consideration that the rules or conditions to be exempted are insignificant to the case and the costs outweigh the
undertake securities business in the category of securities underwriting and shall include any selling agent; 2 “supporter” means a person whose nature of support creates a clear benefit for an equity issuer
(UNOFFICIAL TRANSLATION) Factsheet Form: Structured Notes and Explanation Factsheet Information as of [day/month/year] 1 * II means institutional investors. HNW means high net worth investors. 1
, and our commitment to implementation consistent with our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage
our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best
fiduciary responsibilities: 1. Adopt a clear written Investment Governance Policy 2. Properly prevent and manage conflicts of interest and prioritize advancing the best interest of clients. 3. Make informed
attached to the said Form. The fact sheet in the prospectus under the first paragraph shall be printed with a font that is clear, legible and no longer than three pages of A4 paper, except for a complex
company’s expense. 2.0 Leadership and independence 2.1 Chair and CEO The board should have independent leadership. There should be a clear division of responsibilities between the chairmanship of the board
of responsibility for ultimate investors, such as pension fund trustees and representative boards, should be aware of their primary oversight role. They should be clear about the objectives of their
methodologies. For example, a CRA should assess whether existing credit rating methodologies and models for determining credit ratings of structured finance products are appropriate when the risk characteristics