methodologies of the SPT? Calculation methodologies must be clear and understandable to all investors. The different data points should be highlighted to explain how the KPI is built and calculated. Referring to
, 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
the potential impact to each class of unitholder; (4) if a class of unit may be redeemable, the trust instrument shall contain a clear condition on the terms and period of the redemption, and, the
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
.............................................................................. 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
appointed as the debenture holder’s representative by the company. Clause 4/35 In cases in which any of the following grounds for suspicion become apparent to the SEC Office, the SEC Office may give an