are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having
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Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for
, transparently and with integrity to promote investors? best interest and the indutry?s sustainable growth. Actually, ethical investment and professional standards have always been an integral part of investment