the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
Principle 6 Act Collectively with Other Investors and Stakeholders as Appropriate 50 Principle 7 Regularly Disclose the Investment Governance Policy and Compliance with the Policy 51 REFERENCES 52
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
inspection, scope of inspection, summary of the inspection results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing
asset exchange and digital asset broker, starting from 2 February 2024. In addition, during the suspension, Zipmex is required to: (1) Rectify its financial condition to ensure compliance with the fund
the clients do not claim their assets, Zipmex must deposit them in a trusted and secure system to protect the clients’ interests. Due to its failure to maintain net capital in compliance with the
Qualifications (1) having audit quality control system which is in compliance with the International Standards on Quality Management 1 (ISQM 1); (2) having full-time CPAs and full-time assistant auditors as
operating standard specified by the association under Paragraph 2. Clause 5 A mutual fund management company shall prepare the financial statements of each mutual fund in compliance with the Accounting