and communication technologies to improve the internal systems from storing, processing, tracking and distributing information.?Technology is playing a bigger role in the SEC operation and supervision
responsibility and its responses to any conflicts which might have a significant impact on the company and any related legal disputes, (3) the qualifications of a head of internal audit officer, the relevant
and its responses to any conflicts which might have a significant impact on the company and any related legal disputes, (3) the qualifications of a head of internal audit officer, the relevant
deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets
directions that focus on effective, timely and proactive integrated risk management (IRM), internal operation efficiency, maximized resource utilization, along with better IT systems, to ensure that we will
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements