Clients. Princ iple 3: Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies. Principle 4: Apply Enhanced Monitoring of and Engagement with the Investee
of the 2 nd quarterly financial statement or the audited annual financial statement for the 6 months could be chosen to submit. In case of choosing to submit the audited annual financial statement
world, has enhanced the SEC’s ability to cooperate and request information from other jurisdictions, which will ultimately enhance the SEC’s enforcement capabilities. This reflects SEC’s continued