compliance and oversight framework in place, and to notify the SC of any occurrence of the non-compliance and any other events that have a material adverse impact on investors. • RRs must at all time satisfy
the SEC Office. Clause 6 In applying for the derivatives exchange license, the applicant shall allow and facilitate persons designated by the SEC Office to access the applicant’s place of business or
obtain ACMF Pass and carry out investment advice which are permitted activities under the MOU in Host Jurisdiction. This handbook set out the guidance on ACMF Pass by: 1.2.1 Explaining the scope of
SEC with no deficiencies or with only minor findings were audit partners of an audit firm with effective quality control systems in place. Therefore, the effective quality control system of the audit
document storage location, the following statement may be used: “ Before [YEAR], [SPECIFY THE TYPE OF DOCUMENT] had never been stored. Since then, it has been stored at [PLACE OF STORAGE] ." Q: In
document storage location, the following statement may be used: “ Before [YEAR], [SPECIFY THE TYPE OF DOCUMENT] had never been stored. Since then, it has been stored at [PLACE OF STORAGE] ." Q: In
has made payment for the subscription, the securities company shall count in the value of rights to obtain capital increase shares as collateral and purchasing power or short sale power as from the date
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
underwriter failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for