bank officials. Also investors should monitor movement of mutual fund as well as deposit accounts regularly, and contact the responsible bank immediately in case of inquiry
working groups will be established to monitor and continuously advance the measures to accelerate tangible short-term results. Concurrently, in the next phase, the SEC will proceed with developing other
-Wharton Papers on Financial Services. pp. 1-33 8. World Federation of Exchange. 2007. Retrieved from http://www.world-exchanges.org 9. ')'#+".)%#SO#", \C#T L#$ 3
examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
collateral, and call for additional collateral from the borrower if necessary to maintain the collateral to loan ratio in compliance with Clause 9 (3); (2) have in place a system to monitor any benefit on the
9 (3); (2) have in place a system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance