integrity and honesty; (2) Perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best interest of investors. (3) Disclose or provide
. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with
office. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line
whether directly by itself or through its representative office. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well
executives’ knowledge,competence, honesty and working experience. Clause 2 Person intending to establish a limited company or public limited company for operating securities business in the category of venture
operated. General controls are implemented to ensure that all automated applications are developed, implemented, and maintained properly, and in addition, that the integrity of program and data files and of
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
honor and just and equitable principles of trade based on honesty, fairness, diligence, capabilities, etc; - Has no disciplinary history for the past ten (10) years; - Has not been dismissed or requested
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
, it appears that during the audit, the Accounting Advisor preliminarily reported to the management that S-TREK’s accounting record might not be in accordance with accounting standards, regarding which S