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procedures to ensure that investment consultants regularly distribute investment research to investors. Lack of investment research on small and medium market capitalization listed companies was concerned by
written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of
market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He