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
must not have any prohibited characteristics.? The proposed rules also specify the qualifications of ICO portals whose roles are to examine the quality of digital tokens to be offered for sale and to
, led to an overhaul in international auditor supervision. The SEC has witnessed a shift from a system of Self-Regulatory Organization (“SRO”) under a professional body to a more stringent regulatory
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
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
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine