another client’s account. In this regard, the SEC has emphasized that the bank should expedite the improvement of the operating system in order to mitigate any risk in this manner for its clients
authorized access to the draft financial statements in the EY information system and the inside information given to him by Jeeraporn, who was assistant auditor holding the senior manager position of another
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
found that during August 2014 to March 2015 many clients asked the company to add another contact phone number to their profiles and the company subsequenlty used only the new number to confirm trading
system by a company or agent assigned by you, or prepared and submitted by another company to the SEC Office: 2.1 The system for approving persons in the capital market (natural person/juristic person
variety of different business models. The IOSCO CRA Code does not indicate a preference for one business model over another, nor are the measures described herein designed to be used only by CRAs with large
use clients’ assets for the benefit of another client, other persons, or itself, unless given a written order or consent from the client, on a case-by-case basis. Clause 11 A securities company shall
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
the current year, the Company arranged for a new economic valuation by engaging another independent appraiser, and found that the fair value had decreased. The Company therefore recorded loss resulting