IPO companies. A Financial Advisor also has to monitor its clients’ implementation of such CG policy and assess the appropriateness of such policy. A Financial Advisor should give advice to its
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
stock market reactions, which in turn impact stock market stability. Discussion and Implication Regulators should also closely monitor whether KAMs appropriately reflect the information that auditors
with? E Staff Pressures – Internal: 1 How does the firm monitor and support staff in dealing with the pressures to meet deadlines/targets/recovery rates? 2 How does career progression work post
meeting. This would allow shareholders to take part in shareholder meetings more easily and promote the exercise of voting rights to control, monitor and participate in the decision making on important
affect reward / remuneration? Also, how does the strategic clients affect Acceptance and Continuance Process? 6 How does the firm monitor and support staff in dealing with the pressures to meet deadlines
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that