such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members

might occur between the company, management, directors, and shareholders. The board should also prevent the inappropriate use of corporate assets, information, and opportunities, including preventing

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe

and prevent misuse of legal loopholes to offer services of unregulated businesses, which may cause damage to, or inappropriate services for, the public.The SEC will conduct a public hearing on the

standard qualifications of salespersons.  On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as

will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found.   The issuers covered under the proposed revision are non-listed

misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile

; • Inappropriate manual intervention; and • Potential loss of data or inability to access data as required. [PCAOB AS 12.B4 ] Example of ITGC risks and controls 15 ITGC audit scope 16 Access Security 17 Users have

ensure proper discretion;(2) Human resources (HR): Deficiencies were persisted in some audit firms concerning inappropriate human resources allocation and inappropriate performance evaluation criteria