amendments to the handling of conflicts of interest rules to improve efficiency of the securities offering process, which include preventive measures and disclosure measures to support investors
, such as notifications regarding handling of complaints or maintenance of capital/financial status.SEC welcomes and will take into consideration more public comments which may be related to
this regard, SEC has included the Notification of the Department of Business Development regarding Measures for Handling the Spread of COVID-19 in Case of Possible Impact on the Holding of Juristic
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
-corruption efforts to stakeholders. Principle 6.5 The board should establish a mechanism for handling complaints and whistleblowing. Principle 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8
to establish an appropriate internal control system. A complaint handling channel and a complaint handling procedures for individuals, both internal and external, to submit information or tips related
presentation of auditor?s concerns with key risk factors and risk handling methods clearly identified.? The New Auditor?s Report Educational Project aims to provide knowledge and usage guide to the new auditor?s