limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine the unitholding proportion of any person or Associated Person
examine and co-sign the report of shares allocation to sponsors (form 81-1-IPO 200) to certify that “the company has a monitoring process for the allocation of IPO shares to sponsors which complies with
limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine the unitholding proportion of any person or Associated Person
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
program aims to examine the stability and soundness of the financial sector, as well as its potential contribution to the country's growth and development. The assessment covers various aspects of the
program aims to examine the stability and soundness of the financial sector, as well as its potential contribution to the country's growth and development. The assessment covers various aspects of the
and warns investors to consider the information cautiously. All of the three assessment reports can be accessed by EARTH’s shareholders using their rights to examine the company’s information
) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work
-trade information; (d) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post- trading activities (audit
investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents