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
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
record date have the right to attend the meeting; those who receive shares after the record date are not entitled to such right. Q: If necessary, how could the record date be changed? A: Pursuant