the consistency and cybersecurity that is appropriate and sufficient to protect against possible risks from cyber threats. _____________________________
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI
and Q1/2014 financial statements respectively due to limitation on their scope of audit/review. Accordingly, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to
impairment of assets. In addition, the auditor was unable to use other means to obtain sufficient appropriate audit evidence on the matters. The SEC therefore instructed STHAI to rectify 2012 financial
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
asset exchange and a digital asset broker, did not provide management structure, operating system and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.94
sufficient and effective system for Know Your Customer and Customer Due Diligence : KYC/CDD procedure between October 4, 2018 and April 11, 2022 which violated section 133 paragraph 2 of the Securities and
as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments between October 1, 2018 and