capital market auditors. Most respondents agreed with the proposal, viewing that a minimum of four auditors was appropriate. Additionally, they suggested that the SEC give audit firms a suitable timeframe
and more efficient as well as timely law enforcement against offenders. He expressed satisfaction with this three-agency collaboration, viewing it as a significant milestone in narrowing operational
in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes
the cause of the problems, suggest solutions to the problems, report the incident to executives, and retain relevant evidence and documents available for viewing or inspection by the SEC Office upon
available for viewing within reasonable time. Derivatives clearing houses shall set up an alternative system for use when the system under Paragraph 1 cannot function properly so that the management and
available for viewing or submission to the SEC Office for inspection upon request. Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the
year. Clause 11 The intermediary shall cause documents relating to the maintenance of capital to be kept at its place of busienss in a manner that they are available for viewing or submission to the SEC
, processed, and made available for viewing within reasonable time. Securities clearing houses and central securities depositories shall set up an alternative system for use when the system under Paragraph 1