oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
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as disastrous results of creative accounting practices employed by listed companies in foreign countries (ex. Enron and Worldcom) led to an overhaul in auditor supervision where we witnessed a shift