; - Consider the accuracy and completion of the issues and notify the applicant in writing. Require the applicant to submit a written clarification within a period of at least 14 days but no later than 21 days
entity other than the SEC Office; (2) a criminal fine as deemed appropriate by the Criminal Fining Committee and notified in writing; 3 (3) a criminal complaint filed by the SEC Office with the inquiry
in a continued and credible manner. Good internal control Specify the scope of powers and duties and approval of transactions in a transparent form in writing. Separate the powers to approve, record
intend to provide. Auditors should be aware that KAMs can signal risks to investors; therefore, their writing of KAMs and their considerations regarding the number of KAMs should be done with care. To
within thirty days from the date of termination of membership. 4 In case of termination of membership because of death, if the employee did not, by a will or in writing delivered to the fund manager
Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents
case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional
case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional
supplemental documents. In case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the