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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)

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

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

. The answers to each questionnaire should base on actual practices. If the assessment results in deficiencies in any internal control components (whether it is the reason for neither system existence nor

shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology

"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