branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
system, (4) operational and IT management system, (5) database system, and (6) compliance system. Besides, derivatives agents must designate responsible officers to ensure compliance with all rules and
inspection mechanism to ensure that they are properly set up, managed and monitored to prevent savings exploitation or misspending for purposes that have nothing to do with education. For these reasons
Monetary Authority of Singapore to double check UBS?s document to ensure its accuracy and completeness. Regarding Form 246-2 irrelevantly filed with errors by UBS on August 24, 2001, the SEC urges anyone
trading or otherwise, and we shall further our investigation by virtue of the SEA and clarify all the facts to the public to ensure market confidence.?
set up system for brokers and press to be able to verify rumor/information with official contact persons. This will ensure correctness of information and prevent rumor spreading. Meanwhile, investors
operating securities or derivatives business without license. 2. Business conduct rules: To ensure that registered derivatives business operators perform their duty with prudence and for the best interest of
keepers are required to ensure gold quality standard and safety.The CMSB is of the view that Gold ETF will benefit the gold industry and increase product variety in the capital market. Both types of gold
institution is not required to file for approval for its appointment of an executive, provided that a qualification check has been made to ensure that such executive does not have any prohibited characteristics