for reform in individual countries. 4 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 The Principles were originally developed by the OECD in 1999 and last updated in 2004. The current review
the SEC Office according to the methods and procedures prescribed in the Licensing Manual for the Public. We have studied, acknowledged and understood the Personal Data Protection Policy for internal
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
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, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
) Personal planning for business expansion (if any). In case where no personnel have been hired, the applicant shall submit the criteria for qualifications of such positions. □ 3. Supporting documents for
, scope of work and responsibilities, and proportion of time consumed for asset custody function to the total time of working; □ (c) Personal planning for business expansion (if any). In case where no
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this
level depending on knowledge and virtue to achieve the goal of balance, prosperity and sustainability of individual well-being and the society at large. In other words, by adhering to this