(Newest) Date (Oldest) ’ digital assets under BX’s control or possession to other wallets which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off
IT Controls • General IT controls are policies and procedures used to control many applications to ensure that applications can operate effectively. These controls also include controls over IT
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
has an organizational structure that complies with good corporate governance principles, an internal control system, and disclosure of sufficient information. The issuer's ability to operate
In December 2021, the SEC conducted an earlier public hearing on the proposed amendments to the aforesaid Rules, the objective of which is to accommodate the use of technology to operate business in
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
. (UNOFFICIAL TRANSLATION) (Revision 2015) Table of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities