unit; for instance, to monitor development of new regulations, work as knowledge center for all employees, inspect or review compliance of business operations, prepare operational inspection plan and

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

. ____________________ *   The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according

made falsifying document deceiving this clients that the orders had been executed and claimed that the Automated Trading System (ATS) faced problems. He also deceived his clients to withdraw their

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

in many markets."The SEC believes that continual capacity building of human resources in the securities industry is vital to the health of our capital market and the economy.  Although automated

in many markets.The SEC believes that continual capacity building of human resources in the securities industry is vital to the health of our capital market and the economy.  Although automated program

will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the

and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the audit quality when

and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain