fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units. In this regards, guidelines for reviewing the mission
) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units. In this regards
the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
returns are fitted using GJR-t-GARCH models and then analysed using time-varying conditional copulas to ascertain if tail dependence exists. The study tests a number of well-known copulas, i.e., Gaussian
case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and experience regarding
the client before opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives
believes that the audit firms are in the best position to determine the real root causes of their deficiencies and to implement effective remediation plans The following section provides key inspection
additional recommendation to the remediation plan, as follows: 17 Findings identified by the SEC Remediation plan implemented by the audit firms 4. Human Resources One of the major elements that determine the
statements on a regular basis. This is to ascertain that the financial reporting is prepared in accordance with financial reporting standards and properly disclosed. In 2017, the SEC mandated two listed