undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
the derivatives broker including spouse, cohabiting couple and minor children thereof, and any person who has facts or circumstances that allow the SEC to consider that he/she is the undisclosed
company. ● Undisclosed items / incorrect disclosure of information ● Other related documents/evidence such as accounting document, contract, etc. Matters under the SEC Responsibility Complaint
had to pay redundant expenses without the knowledge of the undisclosed information of such conflicts of interest, both before and after investing in such foreign funds; (3) failing to
Partnership As Hidden Price in Feasibility Study Review and adjust price to ensure meeting GHG reduction target Apply Carbon Price in Investment Decision Process per ton CO2e Clean & Green Strategic Direction
: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus
accounts in undisclosed manner (omnibus account); (2) Derivatives position limit of customer at any time; (Translation) Page 3 of 3 (3) Derivatives position of customer that is still open (open interest); (4
placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that