. During the period that an auditor of the audit firm has been registered with the SEC, I certify that the audit firm will regularly review and maintain the audit quality control system to comply with ISQC1

agencies to block social media accounts engaged in fraudulent investment activities.  “The SEC examines the customer identity verification (KYC/CDD) systems of digital asset business operators regularly

decisions for clients, (2) Receiving compensations, either directly or indirectly, and (3) Operating such businesses regularly or giving services to the general public.  Pursuant to Section 66 of the

trading accounts regularly, as prepared by the responsible securities companies, and not to fall for promises of guaranteed returns because investment in the capital market could either yield profits or

and Chinese delegates agreed to regularly hold executives? meeting to continue exploring the idea and move forward for more concrete collaboration in the future.  

her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment

auditors. Besides, the SEC organizes various projects regularly to develop audit work quality. For example, hosting training sessions and online seminars to share knowledge with auditors in the capital

asset management companies in charge, and to update their fund books (if any) regularly to prevent possible damage from frauds. ______________________  * Clause 23

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

more effective and efficient. The seminars among the AARG members, which are held regularly, help ensure that each participating country can apply the knowledge in adapting their regulatory activities to