and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities
up audit file in case of electronic working papers? 4 Does the firm have policies and procedures for the documentation of complaints and allegations and the responses to them? 119
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.
notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance
schedule of the latest remediation plan. C Complaints and Allegations Firm's Reference /Guidance Notes Description C1 Does the firm have policies and procedures designed to provide it with reasonable
-General of DSI’s conflicting opinion on additional charges under Section 307, 308, 309, 311, 313 and 315 of the Securities and Exchange Act and under Section 264 and 268 of the Penal Code, and on the