Compliance Program / Annual Procedure Review Rule 206(4)-7 of the Investment Advisers Act creates a fiduciary responsibility for investment advisers to review annually their policies and procedures to determine their adequacy and the effectiveness of their implementation. As part of this review, all policies, procedures and responsibilities of an adviser must be reviewed, and the findings documented. The review should consider all factors that might suggest a need to revise the policies and procedures
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Memorandum To: Reader From: Date: July 11, 2014 Re: Violation of SEC Rule 10-b-5 of the Federal statue Summary Aquaman is president of a marine research company called "Underwater Leagues, Inc." On April 1, the research director of Underwater Leagues tells Aquaman that they've come up with "Oxygum," a means of breathing underwater by chewing a special kind of gum. Aquaman knows a great product when he hears it. He delays announcing the invention to the public so that he can buy all
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auditors suggestions and recommendations in the fear of losing the consulting company. The other problem arises when the accounting firms provide consulting services to companies' they audit. To eliminate conflicts of interests and respond to their fiduciary responsibilities, the auditors must preserve their independence compared to the companies that they control. If Anderson would have been able to maintain a high standard when it was of conflicts of interest and then it would also reflect to the auditors
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North South University LAW 200 Assignment # 2 Prepared for: Barrister A.M. Masum Faculty of Business North South University Prepared by: ID NAME 062 528 030 M.Montasir Imran Khan Section: 02 Page | 1 “A proper balance of the rights of majority and minority shareholders is essential for the smooth functioning of the company.”- Explain & Illustrate? 1. Introduction: The basic principal relating to the administration of the affairs of a company is that “the will of the majority
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Joseph’s Ethical Issues 1 Joseph’s Ethical Issues Joseph’s Ethical Issues 2 Identify the ethical and legal issues of which Albert needs to be aware. The first ethical issue I see is that Albert and his wife, Mary, took advantage of the “players” in the large corporations. Albert and Mary would go to parties and get information from them after the “players” had a few alcohol drinks. Both started using this strategy and five months
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responsibility and transparency, apply or explain basis will hopefully achieve a sound corporate governance in which directors are willingly to embrace best practices rather than being forced into it Apply or explain and the Law The Directors have fiduciary duty to act in good faith, avoid conflict and not to make secret profite skill , they are obliged to act with duty of care, skill and diligence, the companies Act 2008 Requires all public companies and state owned entrepreneurs to be audited annually
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Once during the semester, each team will be required to make ONE oral presentation of the assigned cases and to also critique another team’s case. This is in addition to submitting a written analysis of the case you have been assigned. Presentations are required to be in Power Point format. Each person on the team is required to present a section of the case. Professional dress is required and will be considered in your grade. The following points should be considered in preparing your presentation:
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Final Project The use of “Best Practice” in Guardianship Student: Takysha Crawford tcrawford@waldenu.edu Student ID # A00487277 Program: PhD in Human Services Specialization: Family Studies and Intervention Strategies Walden University May 18, 2014 Introduction My specific area of human services would is guardianship of incapacitated adults who need guardians to help them provide food, clothing or shelter, or to care for his or her own physical health, and to manage his or her own
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Unit 1 - Assignment #1 China’s Tainted Baby Milk Powder: Rumored Control of Online News 1. Yes, there was damage to Baidu.com’s reputation. The rumors made the company’s information appear unreliable. By the rumor of the company being paid off for both not disclosing information and by ad placements, in the way that paid ads are listed pages before unpaid ads. The placement of ads also gives way that companies could pay for ad placement. 2. Future reputational damage could force the
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“riding a tiger, not knowing how to get off without being eaten.” Briefly explain agency theory (principal‐agent conflicts) with the reference to the Satyam case An agency relationship is a situation where one or more principals (e.g. shareholders) hires another Person or persons as their steward (eg. CEO/company executives) to perform a service on their behalf, trusting that the agent would act in his or her best interest. The principal then delegate a decision-making authority to the
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