objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of

(IMA) Control Environment 1. The organization demonstrates a commitment to integrity and ethical values. Questions Yes No 1.1 The board of directors and the management set up principles and guidelines

, and possible effects on the integrity of the trading and clearing systems on the Derivatives Exchange; (b) in the case of investment, report to the SEC Office the scope of investment or investment

fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of

basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient information

regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the investments on the basis of integrity and

2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive

to investment policy which the securities clearing house sets out by taking into consideration the liquidity, risks, and possible effects on the integrity of the securities clearing and settlement

Commission Note : The rationale for the issuance of this Notification is as follows: Securities companies are required to have proper risk management systems and procedures to ensure that possible damages from

management systems and procedures to ensure that possible damages from conducting business will be managed to the level that does not affect the business and the credibility of the companies. Since it is