.?Business operators will be allowed to outsource activities, for instance, risk management, internal audit and control, information technology management, etc. Some important or expertise activities, will be
and communication technologies to improve the internal systems from storing, processing, tracking and distributing information.?Technology is playing a bigger role in the SEC operation and supervision
responsibility and its responses to any conflicts which might have a significant impact on the company and any related legal disputes, (3) the qualifications of a head of internal audit officer, the relevant
and its responses to any conflicts which might have a significant impact on the company and any related legal disputes, (3) the qualifications of a head of internal audit officer, the relevant
deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements