), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to

(Chinese Wall), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8

concentration risk due to investment in products of any single issuer. Under such conditions, a credit risk on any specific issuer in a term fund’s portfolio could adversely affect the net asset value of the

, resulting in fewer deficiencies detected. There are, however, other areas in which further improvements are warranted such as audit planning and risk assessments, audit procedures in response to fraud risk

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the

manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules and regulations

derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules

report. This will ultimately lead to more useful, more accurate and more relevant financial information. Moreover, the SEC circulated the findings arising from audit inspection, namely risk assessments and

evidence during a planning phase and a substantive test phase, especially in the audit of revenue, risk assessment and response to the risk of fraud. In this regard, the SEC will support and closely monitor

creating risk as well as opportunity for their investments. We hope the collected wisdom in this 21st Century Engagement guide will empower even more investors to ask the right questions, and to demand