SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

inconsistent with the ever-advancing technologies and do not allow businesses to access necessary information sufficiently. The FinTech Act would not only reduce such limitations by allowing established

participants to acquire the knowledge and skills necessary to incorporate ESG considerations into the investment decision-making process. By doing so, they will be able to better support client demand and

WEPs. The initiative is an important instrument for advancing gender equality in listed companies and their value chains. We are pleased to see that each year, more listed companies sign up to the

aims to promote ASEAN capital markets as a driving force for sustainable development and an investment destination recognized by global investors in line with the concept of Advancing Partnership

independently and without bias, advancing beneficiary or client interests as their primary obligation. 1.3 Capacity and effective management Institutional investors should be led by boards and staff with the

conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply

our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best

fiduciary responsibilities: 1. Adopt a clear written Investment Governance Policy 2. Properly prevent and manage conflicts of interest and prioritize advancing the best interest of clients. 3. Make informed

2019 Chairmanship, “Advancing Partnership for Sustainability”. The ACMF Deputies’ Meeting also discussed on the possibility to accept the Philippines as a new member of the ASEAN CIS to further promote