1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Securities Company; (2) the Notification of the Office
paragraph relating to computer or electronic system: (1) the Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information
Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Securities Company; (2) the Notification of the Office
Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Securities Company; (2) the Notification of the Office
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
can demonstrate that it can perform such duties; The structure of board of directors have sufficient checks and balances; Directors/ executives/ controlling persons must not have untrustworthy
a failure to perform duties with responsibility, due care and loyalty for the best interest of the company, which causes damage to the company or creates benefits for oneself or others. In this regard