did not identify clear roles and responsibilities and did not create a specific team to monitor these issues. 2. Relevant ethical requirements Most auditors adhere to professional ethics, and most audit
client’s permission or consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued
. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or TSFC Securities Limited, or
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
, complexity, nature of the business environment, specific circumstances , and industry sector. H1: Number of KAMs is positively associated with cumulative abnormal returns/trading volumes (that is the greater
stages of the outbreak of COVID 19, the Company formed a central committee to monitor and manage risks, as well as establishing working committees for all subsidiaries. These committees closely monitor and
1.5 Where an Institutional Investor outsources its stewardship duties and responsibilities, the Institutional Investor should monitor the discharge of these duties and responsibilities to ensure that
-making on matters such as allocating assets, awarding investment mandates, designing investment strategies, and buying or selling specific securities. The division of duties within and between institutions
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall