asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& 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
/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
/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