rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
. This Act shall not apply to the following: (1) any off-exchange derivatives contract of which the obligation for payment is calculated from any foreign exchange rate or interest rate; (2) any contract to
administrative sanction, the competent authority shall take into consideration the circumstantial factors constituting the action, damage resulted from such action together with level of the sanction to be imposed
information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples
board of directors’ intention to take action against corruption. Implementation : Specify the actions already taken in accordance with the anti-corruption policy in the following matters: (1) Business
derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of
existing clients; (3) take any other action in the manner that increases risk to the financial condition, the operation or the performance under the agreement with the clients, as prescribed by the SEC
Agent to Facilitate the Acceptance and Execution of Trading Orders of Securities or Derivatives by assigning personnel in the capital market business who are not investment planner to take action lawfully