Sentences with phrase «listings rule breaches»
His regulatory experience involves a wide range of matters including anti-money laundering and anti-bribery controls, listings rule breaches, conflicts of interest, suitability of investment advice, treatment of customers, client asset rules, market misconduct, competition law and personal culpability of individuals.
https://www.mishcon.com/ Not exact matches
For example, the updated comment to Rule 1.6 (c) on confidentiality provides a nonexhaustive list of factors to consider whether an attorney acted reasonably in the lead - up to a breach of client data, but it does not endorse a specific approach.
A case of particular interest in the regulatory context is CITIC Pacific Ltd v. Secretary for Justice and anor, [160] in which the Hong Kong Court of Appeal considered the application of the crime - fraud exception in the context of alleged fraud and breach of listing rules by a company (CITIC) listed on the Hong Kong Stock Exchange.
I ask because ONE brokerage member of TREB with thousands of listings posted to the TREB MLS system, signage is in 100 % breach of rules that have been in place for decades.
However if a specific provision or clause hasn't been included in a listing agreement to even solicit a seller's permission, it's reasonable to expect that the stage was set for an incredibly large scale breach of a common sense MLS rule!