. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the
upon such information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is available from
– February 2021 3-3 What governance process should be established by the issuer to monitor the achievement of SPTs? The issuer should not only select the relevant KPIs and related SPTs as per sections 1 and 2
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
conformity to be deemed as compliance with the relevant regulations under this Notification; (3) require derivatives exchanges to submit reports or any particular documents to the SEC Office periodically or
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
responsive to the different needs of market participants without unfairly advancing the interests of any particular group to the disadvantage of others; Promptly deal with identified issues and misconduct
by considering investor’s investment objective, financial situation and particular needs • soliciting for sales of capital market products 2 ACMF Pass framework 3 Professional Home country Home