extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer, if any; and (d) the legal advisers to the
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
the website of the SEC Office: (a) certifying that such audit firm has a audit quality control system under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office; (b
=electrical control OR "electrical control" OR "electric manage" OR "electric oversee" OR "power manage" OR "power oversee"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap
, both listed companies and audit firms ought to put in place proper work processes and internal controls to ensure the desired outcomes. Listed companies need a suitable internal control system and a well
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
/secweb/select?q=electrical control OR "electrical control" OR "electric manage" OR "electric oversee" OR "power manage" OR "power oversee"&wt=json&indent=true&facet=true&facet.field=key_filetype
custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b
to operate as a custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of
(Newest) Date (Oldest) SEC Search " electronic possession " OR " electrical ownership " OR " electrical control" OR "digital ownership " OR "digital control"&wt=json&indent=true&facet=true&facet.field