penetration testing frequency to once every three years, increasing controls for generic user accounts, and maintaining incident records for at least two years with root cause analysis; (4) To adjust the
consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging
transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the
who want to trade in stocks, mutual funds or futures contracts. Investors who open investment accounts through NDID do not need to re-authenticate. Therefore, they can start their investment faster
auditor's qualified opinion on the financial statements of the subsidiary because the subsidiary failed to set an allowance for doubtful accounts and had yet to improve the efficiency of its internal control
persuaded clients to invest in funds and withdrew large sums of money from the clients’ accounts. However, she did not make any investment transactions in accordance with the clients’ intention and
' securities trading accounts. They traded UKEM shares in concealment on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing
into the case and found that from July 24 to August 26, 2009, {A} {B} {C} {D} {E} {F} {G} {H} {I} {J} and {K} had colluded to trade MILL shares through securities trading accounts of their own and other
application for approval as capital market personnel for the period of five years, effective from July 17, 2013. Importantly, using client accounts for the benefit of themselves or others is considered as the
such information from their positions as CEO and chief finance officer, respectively. The information was about allowance for doubtful account on trade accounts receivable resulting in TUCC operating