transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s

Earlier, the Audit Committee of CMO had informed the SEC of the issues raised by the auditor from the audit of the company’s financial statements as follows: an irregular withdrawal of advance

sector, the SEC Board has approved to ease the regulations governing the establishment of an audit committee for certain types of securities companies. The audit committee is required to perform the duty

provide easily and thoroughly assessable disclosure channels to investors as opposed to the previous requirement for specifically disclosing certain types of information at the companies’ office or the

conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed;  (8)  Debt issuers must use the raised money to repay for the earlier

Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows:             (1)  Rules that carry the material context similar to that state...