Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
. 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
, including reasons for not following any particular Principle or Sub-Principle, and alternative practices (if any) that can fulfil the intended outcomes of the Principles and Sub-Principles. 2. disclosed in
Office to ensure compliance with this Notification, require derivatives clearing houses to submit to the SEC Office reports or any particular documents periodically or from time to time, within a time
professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data ISBN 978-1-907387-13-5 © International Corporate Governance Network 2 ICGN Guidance
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
Notification; (3) to allow the SEC Office to ensure compliance with this Notification, require securities clearing houses and central securities depositories to submit to the SEC Office reports or any particular
such situations are of particular importance. There are ongoing considerations in a number of jurisdictions as to the full extent of the application of fiduciary duty across the investment chain. 6.2.3
fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the fund