and an executive shall: (1) act in good faith for the best interest of the company; (2) act with proper purpose and; (3) not act in significant conflicts with the interest of the company. 1.3.2
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
result of their good faith whistleblowing activities. Principle 6.1 The Board should ensure that the company has effective and appropriate risk management and internal control systems that
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
above, or any actions in good faith that do not include increases in investment, the mutual fund management company shall take following actions: Excess from Increases in Investments
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith and intend to conduct the case to protect the interests of the class members. Secondly, the