the disqualification, and shall inform the SEC Office of such correction within 3 business days from the day the correction is completed. In cases where the mutual fund supervisor fails to correct the
, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction
correction to any record, the securities company shall complete such correction within the same working day when the cause of correction is found and shall record the cause of each correction. Clause 14 A
services to its customers by preparing and submitting a correction plan for maintenance of NC within 30 days and resolving such problem within 90 days, during which periods customers and stability of the
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
news to the holders of depositary receipts in order that the holders of such securities are informed of up-to-date information and news, and ensure that the criteria in the relevant notification on
the intermediary shall be informed without delay; (5) internal control for the operation shall be established in accordance with the information technology governance policy, which contains at least the
the intermediary shall be informed without delay; 4 (5) internal control for the operation shall be established in accordance with the information technology governance policy, which contains at least