activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
holder CAIA Association Chartered Alternative Investment Analyst, awarded in 2011 and a current charter holder Current Appointment Deputy Secretary-General, SEC Experiences Securities and
achieve the national missions within the scope of assigned authority and under the related laws. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I
-committee appointment; Board Policies , for instance, code of ethics, conflicts of interest and equitable treatment of stakeholders; and Board Practices , for instance, setting of directions, policies
the upcoming shareholder meeting; however, the board may refuse to include the matter proposed by the shareholders in the agenda only if the proposed matter does not fall within the scope specified by