advocacy threat, which will impair the independence and trustworthiness of the audit firms. • Amend the pol icy and the disclosure form attached with the s ta f f annua l independence confirmation to be more
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
– February 2021 3-3 What governance process should be established by the issuer to monitor the achievement of SPTs? The issuer should not only select the relevant KPIs and related SPTs as per sections 1 and 2
and regularly monitor portfolio climate risks, including physical risks. Identify approaches to mitigate direct and indirect material risks. Conduct a 1.5°C and 2°C scenario analysis including
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code
such information publicly and promptly because financial statements are material information for investors and shareholders to make well-informed investment decisions and monitor company operation.?
trust auditors will help investors monitor movements of trust unitholding and understand the overall status of insiders’ interests. SEC therefore requires directors and executive of trust managers and
Unit would be required to closely monitor advertisements and report to the Board of Directors every month and submit such monthly reports to the SEC on a quarterly basis. The consultation paper is
website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services. _________________