Alpha, Beta, and Now…Gamma David Blanchett, CFA, CFP® Head of Retirement Research Morningstar Investment Management Paul Kaplan, Ph.D., CFA Director of Research Morningstar Canada August 28, 2013 Morningstar Investment Management Page 2 of 27©2013 Morningstar. All rights reserved. This document includes proprietary material of Morningstar. Reproduction, transcription or other use, by any means, in whole or in part, without the prior written consent of Morningstar is prohibited. The Morningstar I...
firms establish a set of effective policies and procedures to collect information on conflicts of interests disclosed by shareholders and top management, as well as to verify and follow-up on completeness
provider or persons who collect or process the data of such persons by computers or any other equipment, to testify or to deliver copies of or present accounts, documents, seals or other evidence related to
Trade Competition Commission – a separate independent body to supervise trade competition with greater flexibility. As a provider of financial services operating under the purview of this Act, KBank
or complex characteristics issued and offered for sale in an ASEAN country. “agricultural commodity trading management official”2 means a person assigned by derivatives investment manager to supervise
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
supervise risks and uphold good corporate governance principles, among others. 4 2. Independent directors are required to hold the position for no more than nine consecutive years, and there must be at least
Clause 21, shall supervise and give advice to the securities issuer regarding duty performance after the offer for sale of securities, particularly the duties in the following matters, during the period of
the Office of the Securities and Exchange Commission concerning Granting of Approval of Financial Advisor and Scope of Work, and monitor, supervise and give advice to 17 the applicant regarding