3 POLICY & PROCEDURE SocialEnvironment Governance Sustainable Development Policy ▪ CG Policy ▪ Business ethics manual ▪ Anti-corruption ▪ Vendor Code of Conduct ▪ Tax policy ▪ Human rights Policy o
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
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
that time a great deal has changed in the Asian corporate governance landscape, in great measure due to the continued operation of the Asian Roundtable. Moreover, the OECD Principles were themselves
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3
. 1.2 Scope of activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or
-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3 Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to
planning, tax and ethics) and Module 2 (investment planning), curriculum recognized by the SEC Office, or any others under remark1. In case of passing CFP Module 1 and Module 2, the 2-year result validation