responsibility and its responses to any conflicts which might have a significant impact on the company and any related legal disputes, (3) the qualifications of a head of internal audit officer, the relevant
and its responses to any conflicts which might have a significant impact on the company and any related legal disputes, (3) the qualifications of a head of internal audit officer, the relevant
deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets
Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information handed over to the intermediary as
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements