well understood by market participants or easily accessible. It is not always clear what is mandatory and what is voluntary, or what the most current and relevant requirements are. There is also
, damaged and unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries
thereof. In this regard, while awaited delivery of the asset or investment for the client, the intermediary shall provide a system for controlling the client’s assets to prevent being lost, damaged and
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
information in accordance with international standards and beneficial to the readers. ABOUT THIS REPORT BUILDING BRIDGES • Building opportunity for the public and businesses to easily access and make fully use
providers. In our experience, this problem is often easily addressed. Heavy Engagement The other side of the barbell, for us, is characterized by a deep investment of time and resources. These engagements are
be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2
investors to carefully study the prospectus before making any securities investment decision, where the caution statement shall be in easily legible print and in a size not less than the size of the letters
shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2