connecting peers around the world. The combination of responsibilities of boards and shareholders in a single set of Principles emphasises a mutual interest in protecting and generating sustainable corporate
.............................................................................. 43 United Kingdom: Clear Policies Move the Needle on Stewardship and Engagement .................................... 45 KEY QUESTIONS TO ASK BY SECTOR Taking Investment Lessons from Socrates: Asking
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client; (9) having a system for protecting the
that users be accountable for safeguarding their user IDs, passwords, and any personal information that may be potentially used to request a change of the user IDs and passwords. 23 5.4. System and
investors should understand, minimise and manage the conflicts of interest that they face and behave ethically, ensuring that they maintain focus on advancing beneficiary or client interests and disclosing
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
/ outsource Internal audit’s roles Assurance on operational efficiency. Reliability of reporting Compliance with laws and/or regulations Safeguarding of assets / ethical culture Advise on design and
© OECD 2015 5 I) Ensuring the basis for an effective corporate governance framework; The chapter emphasizes the role of corporate governance framework in promoting transparent and fair markets, and the
budgets and major expenditures, and ensuring that risk management and internal controls are established. In practice, directors take their responsibilities seriously. Directors participate in director