-corruption in listed companies and capital market industry.The proxy voting guidelines describe roles of the institutional investors in monitoring businesses in which they invest; to illustrate, for instance
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
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
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
for promoting and maintaining security, credibility, transparency and fairness in derivatives trading, as follows: (1) procure a derivatives trading system capable of supporting expected trading volume
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC