Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 4
company relationships with stakeholders such as employees, suppliers, customers, local communities and the environment as a whole. First initiated at the founding of the ICGN in 1995, this is the fourth
holders, as well as the provisions applicable to this representation. 2. Disclose the address of the representative, and the nature of any material relationship between the representative and the issuer or
, or arranger may mislead market participants. Likewise, conflicts of interest or other undue factors internal and external that might, or even appear to, impinge upon the independence of ity. Where
relations or relationship by registration under the law in the nature of being parent, spouse, brother or sister, child or spouse of a child of an executive, a major shareholder, person with power of control
Having blood relations or relationship by registration under the law in the nature of being parent, spouse, brother or sister, child or spouse of a child of an executive, a major shareholder, person with
Having blood relations or relationship by registration under the law in the nature of being parent, spouse, brother or sister, child or spouse of a child of an executive, a major shareholder, person with
(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business
(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business
sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC