dimensions – economy, society and environment – under good corporate governance, appropriate risk management and effective cost management. Guided by the Customer Centricity strategy and our resolution of
accordance with the 2 following principles: (1) good governance and clear, transparent organizational structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with
2015 3 Note by the OECD Secretary-General G20 Finance Ministers and Central Bank Governors Meeting 4-5 September 2015, Ankara Good corporate governance is not an end in itself. It is a means to create
received for the overall firm’s quality control system is based on a scale of 1-5 (from very good to failing the SEC-approval process) Engagement-level inspection scores received for the audit quality of the
) arrange for the personnel of the intermediary or an outsourcee (if any) to have in place confidentiality or a non-disclosure agreement. Clause 23 An intermediary shall establish measures for operations
personnel of the intermediary or an outsourcee (if any) to have in place confidentiality or a non-disclosure agreement. Clause 23 An intermediary shall establish measures for operations security relating to
persons to act or perform duties on his behalf. Clause 14. In order that investors shall receive good, efficient and fair services, the investor contact shall perform duties in accordance with the following
not delegate other persons to act or perform duties on his behalf. Clause 14. In order that investors shall receive good, efficient and fair services, the investor contact shall perform duties in