interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the
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
involved in the engagements? How does the firm oversee the work that is assigned? And how does the firm address the review of their work? 4 How does the firm document the performance of these
prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a
can also be used to demonstrate the extent to which they have complied with the Code. In a similar spirit, UK institutions that apply the Code should use their best efforts to apply its principles to
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The