& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
any liabilities, its financial statements were not in compliance with the generally accepted accounting standards. The SEC thus instructed JAS to rectify those financial statements by recognizing the
of voting results. Principle 6: Act collectively with other investors and stakeholders as appropriate. Principle 7: Regularly disclose the Investment Governance Policy and compliance with the policy
disclose its level of I Code compliance for each Principle on a “Comply or Explain" basis. For each Principle not applied by the Institutional Investor, whether because of its business profile (including
/e_ukeirehyoumei.pdf Service Providers: https://www.issgovernance.com/file/duediligence/iss-uk-stewardship-code-compliance-statement-160930.pdf Example of ESG Questions 21st Century Engagement: Investor Strategies
Governance Policy and compliance with the policy. Mr. Jeffrey D. Nuechterlein Chairman and Independent Board Member Cartica Management, LLC
disclose its level of I Code compliance for each Principle on a “Comply or Explain" basis. For each Principle not applied by the Institutional Investor, whether because of its business profile (including
/e_ukeirehyoumei.pdf Service Providers: https://www.issgovernance.com/file/duediligence/iss-uk-stewardship-code-compliance-statement-160930.pdf Example of ESG Questions 21st Century Engagement: Investor Strategies
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with