(systematically and continuously) • Public reporting (comparable KPIs) • Performance progress, Activities details and challenges (on track and off track) • Third parties' verification (increase creditability) Steps
selling orders to ensure proper verification, (3) establishing price rules to allow short selling transactions only at prices equal to or higher than the latest market price (zero uptick rule) to prevent
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
determined in accordance with the following formula: Sale Shares Price = Permata Book Value (as set out in the last financial statements published prior to the date of confirmation of satisfaction of all
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
. No. 4 – Revision has been made to remove restrictions and minimize service users’ burden for proof of identity and identity verification. (Previously, service users had to be present in order to submit
restriction; (6) in case of an offering of structured notes that requires the quota verification of underlying shares, the Company has been notified by the SEC Office of the confirmation of such underlying
Digital ID (NDID) program – which will become the nation’s centralized system for digital identity verification and authentication – are as follows. 3 1. Banks must seek consent from customers and inform
and Exchange Commission Independent Audit Inspection Activities Report Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Introduction Quality Assurance