) Systems for supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and

supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and selling prices

supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and selling prices

, the intermediary should establish a process for monitoring and inspecting closely and regularly the operation of the relevant personnel to mitigate potential risks. 2.2 Mobile Devices and Teleworking

, the intermediary should establish a process for monitoring and inspecting closely and regularly the operation of the relevant personnel to mitigate potential risks. 2.2 Mobile Devices and Teleworking

Handbookforapprovalofforeignauditors ,​ b) ​inspecting audit works performed by the applicant to ensure the compliance with the                  ISAs, and c) ​​inspecting the audit firm's quality control system to ensure compliance

to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to

Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to apply fair allocation

other person that securities offeror is able to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities

Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012.  The SEC therefore suspended {A} from his duty as an approved derivatives market investment consultant