this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
suitability for investment and the relevant risk exposure. If you are in any doubt as to the action you should take, you should consult your legal, financial, tax, or other professional adviser. A copy of this
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
corrective action, including senior management and the board of directors, as appropriate. Questions Yes No 17.1 The company evaluates and communicates internal control deficiencies and monitors for correcting
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
, with focus on related party transactions, disclosure of beneficial ownership and control; Organising the structure of enforcement authorities to allow effective and coherent action of the agencies
, resulting from: ฆ 2.2.1 circumstances beyond control of the entity (paragraph.........); ฆ 2.2.2 circumstances relating to the nature or timing of the auditor’s work (paragraph........); ฆ 2.2.3 limitations
security in accordance with the following criteria: (1) manage and control computer network systems in a secure way to ensure prevention of any action that may cause a risk to information in networks; (2