revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
work process that absolutely prevents duplication or remaking of such documents and requires regular review, 100 percent log record, as well as internal and external audit to certify that the company has
each Principle not applied by the Institutional Investor whether because of its business profile (including size, structure, or their role in the investment chain) or otherwise, the Institutional
, applicable to all directors, executives, employees and staff of the company. 1.2.4 The board should ensure effective implementation including regular communication of the company’s policies and guidelines to
/ratings; ▪ Quarterly updates of third-party ratings; ▪ Daily audits of portfolio holdings undertaken by internal compliance function or external service provider; ▪ External, independent committee or
characteristics: (1) a company related to an intermediary by shareholding structure, either directly or indirectly, more than fifty percent of the total number of shares sold; (2) a company related to an