control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

(Newest) Date (Oldest) SEC Search ( 2 ) http://172.19.1.196:8983/solr/secweb/select?q= electronic possession OR " electronic possession " OR " electrical ownership " OR " electrical control" OR "digital

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

"electronic possession" OR "electrical ownership" OR "electrical control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field

possession" OR "electrical ownership" OR "electrical control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field=system_name

year;             (3) To adjust security measures to be commensurate with the risks of small business operators by, for example, reducing the penetration testing frequency, increasing access control

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

. II) The rights and equitable treatment of shareholders and key ownership functions; The chapter identifies basic shareholder rights, including the right to information and participation through the

Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company

"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field