consideration of market specificities and nuanced approaches for different engagements • Numerous engagement options and reference points for investors, supported by wide range of tools, benchmark assessments and
which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 92 In engaging in derivatives with clients, the derivatives dealer shall
which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 92 In engaging in derivatives with clients, the derivatives dealer shall
to engaging with companies, there are situations where certain strategies are more appropriate to use than others. Engagement strategies range from sending letters and making phone calls to informed
engagement in the securities business of investment advisory service (IA): amending the conditions for exempting from engaging in IA; adding exemption from engaging in IA for personnel of foreign business
Effectiveness The chair is responsible for leadership of the board and ensuring its effectiveness. The chair should ensure a culture of openness and constructive debate that allows a range of views to be
range 80-100%Score range 0-20% Score range 60-80%Score range 40-60%Score range 20-40% Fund 2Fund 1 Stock A ,B,C =70% Stock X ,Y,Z =30% Active share Similarity However, at the firm level, controlling for
voting rights of such juristic person; (8) “client solicitation” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for
voting rights of such juristic person; (8) “client solicitation” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for
juristic person; (8) “client solicitation” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for the clients as well; (9