offering. SEC advises the public to examine the information in this matter carefully and thoroughly before making any investment decision. For further inquiries, please contact SEC Help Center at 24-hour
examine the information in this matter carefully and thoroughly before making any investment decision. For further inquiries, please contact SEC Help Center at 24-hour Hotline 1207. Summary of regulations
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
was not audited. Example 12 : When inspecting revenue from the domestic sales, the SEC found an auditor did not examine significant matters such as evidence of an authorised person’s signature, a
broker shall examine allocated quota available for such customer to ensure that each derivatives trading will not exceed the allocated quota. Clause 6. Provisions in Clause 3, Clause 4 and Clause 5 shall
Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to Examine by the Securities Company Report/Form (Notification of Securities
Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to Examine by the Securities Company Report/Form (Notification of Securities
Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to Examine by the Securities Company Report/Form (Notification of Securities