system in safeguarding clients’ confidentiality. The SEC therefore urged EY to rectify the system to be more stringent and the company has already done so. In addition, the SEC has sent a circular to all
business relationship with the securities company, parent company, subsidiary company, affiliate company or person who may have conflicts of interest that may impede the exercise of independent judgment, and
may have conflicts of interest that may impede the exercise of independent judgment, and not have any characteristic that causes the inability to freely give comments on the operation of the derivatives
safeguarding and preventing against damage and fraud as well as procedures to ensure the accuracy and reliability of its financial statements which shall be audited by the Office of the Auditor General of
control system for goals and objectives achievement, compliance with applicable laws and regulations, safeguarding of the assets from frauds and damage, and preparing reliable accounts and reports. The
impede the proceeding of the SEC Office; (6) record or any other past demeanor which indicates inappropriateness to be a personnel in the capital market business or director of the derivatives exchange or
would impede the ability of these individuals to perform their required business activities for the issuer. For example, this could include whether any of the issuer’s directors also serve as directors
impede the proceeding of the SEC Office, for instance, providing fact or evidence which is beneficial to the consideration or undertaking of the SEC Office, concealing or destroying 15 relevant evidence or
complete information to the marketplace and the CRAs they solicit to provide credit ratings. While aspects of the IOSCO CRA Code deal with a investor protection by safeguarding the integrity of the credit
subscription payment, and safeguarding of subscription money. - specify information on the underwriter such as name, address, telephone number, including the underwriting remuneration. (4) Method of unit