redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction Confirmation of Clients
, 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
plans and procedures for the SEC including development of operational guidelines, systems to identify, assess, monitor, control or minimize risks and record keeping and reporting system. The Division also
the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 ( In cases where the securities intermediary in the
) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 In cases where the securities intermediary in the category of investment consultant
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards
realizes such risk from the issue and keep monitor the cullet price closely and control the usage amount to optimize the production cost. Gross profit of revenue from overseas sales under ICUK’s operation
- Institutional Customer for Short Sale (No. 2) dated 8 September 1998. -13- Clause 7/1 5354 Repealed. Clause 8 A securities company shall have in place an internal control system and shall monitor its employees
. Debt Quality Monitoring KBank has developed risk indicators to monitor and control asset quality, as well as credit-utilization behavior, as early warning signals to prevent deterioration in credit