auditor rotation requirements into account, it is evident that the audit firm should establish at least four partners or equivalent to meet the rotation requirements within the firm. Statistic as at 31

, and our commitment to implementation consistent with our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage

our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best

fiduciary responsibilities: 1. Adopt a clear written Investment Governance Policy 2. Properly prevent and manage conflicts of interest and prioritize advancing the best interest of clients. 3. Make informed

conduct transactions under other person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent

the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to

attached to the said Form. The fact sheet in the prospectus under the first paragraph shall be printed with a font that is clear, legible and no longer than three pages of A4 paper, except for a complex

passed a resolution with at least two-thirds of all commissioners in cases of a commissioner, provided that the resolution and the order shall state clear reason therefor. If the office of the Chairman or

.............................................................................. 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

Clause 6 In case where the facts become apparent that the SEC Office discovers any of the following suspicious circumstances, the SEC Office may not grant approval for the offer for sale of securities