Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient system relating to operational management
SEC Office’s Project to Resolve Disputes by Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing
plan on information systems in accordance with the results of risk assessment; (b) define the scope of technical audit on information systems to cover key assessed risks, provided that such audit shall
material change to such systems, and report the results to the compliance unit or the internal audit unit without delay. (7) perform an audit of information systems as follows: (a) draw up an audit plan on