Engagement with the Investee Companies if Monitoring pursuant to Principle 3 is Considered Insufficient 45 Principle 5 Have a Clear Policy on Exercising Voting Rights and Disclosure of Voting Results 48
governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may potentially harm public interests. Therefore, in
, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared
insufficient inventory space. The cost per unit therefore increased significantly. Which the company has already built a factory to solve the said problem. However, the company could maintain the level of
of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for
and positions of the member and the client, and where it appears that the price is highly volatile and the margin placed by the member is insufficient, the intraday margining and the daily mark-to
protection measures available, including complaint/redress procedures. • Identify the implications of providing inaccurate, misleading or insufficient information to the financial service provider
in recurring revenue was insufficient to offset the reduction in non-recurring revenue. T.662 636 6999 F.662 646 4200