person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that are (1) failing to
) Contribution for public interest more than one’s own benefits and public mindedness, (5) Focus on work effectiveness, (6) Fair and impartial duty performance, and (7) Setting good examples and protecting the
service providers some of the activities associated with stewardship. However, they cannot delegate their responsibility for stewardship. They remain responsible for ensuring those activities are carried
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and
opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
intensifying climate hazards • Ensuring traffic safety • Promotion of environmental conservation Specific renewal of expressways • Measures to address aging infrastructure (promotion of expressway renewal
business that serve a variety of client types, objective research is a cornerstone of Sustainalytics and ensuring analyst independence is paramount to producing objective, actionable research. Sustainalytics
raise the awareness of the importance of educating and protecting investors. The SEC is delighted to join this international campaign because we share the same objective as reflected in our continuing
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
of protecting investors and ensuring that the financial markets function properly, and use their best endeavours to work towards a level playing field with relevant authorities in terms of the tax