............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
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2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
investment returns for clients, including through adopting of a Statement of Corporate Values. 2.1.3 Employing knowledgeable and capable staff and implementing an employee compen- sation architecture
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strategies, plans and targets. b) Ensuring robust system for risk management and internal control c) Clearly defining management’s responsibilities d) Overseeing appropriate policies and plans for resource
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