laws may be impractical for capital market misconduct whereby important evidence is usually in the possession of the offenders contrary to other criminal cases that leave more traces https

information useful for making prudent decision before using investment services, the SEC has prepared a list of unlicensed or unregistered business from the traces and complaints received from investors and

. Moreover, the existing laws may be impractical for capital market misconduct whereby important evidence is usually in the possession of the offenders contrary to other criminal cases that leave more traces

inform information or traces of frauds or corruptions to the company. 15. The organization communicates with external parties about matters affecting the functioning of internal control. Questions Yes No