capital requirement by taking into account the types of business models as well as the existence of lead regulator (if any). Also, certain conditions and periods of protection have been adjusted in this
. …………………………………………………………………………………………………………….. The purpose for the use of SEC Account is as follows: (Please specify the name of the system and the name of the transaction / application / report
……………………………………………………………………………………………………………… Others. …………………………………………………………………………………………………………….. The purpose for the use of SEC Account is as follows: (Please specify the name of the system and the name of the transaction / application / report
investigate which types of market participants are more likely to implement such trading strategy and provide abnormal liquidity to the market at threshold prices. • H1: The existence of different relative tick
. (2012) find that IT control deficiencies affect management forecasts. The management forecasts will be less accurate with the existence of material IT control deficiencies. 3 Why DO WE NEED To Audit IT
strongly advised to be careful with such manner of solicitation above and verify the existence of the solicited shares or examine if the offering in question has been properly filed with the SEC before
Report on Changes of Securities and Derivatives Holding in Reported by Position Reference No. Name of securities/derivatives holder Type of securities and derivatives Transaction Date No. of