the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
of assets or acceptance of assets placed as collateral from an originator for an issuance and offer of securities for sale to investors, providing that proceeds obtained from the offer for sale of
issuance e.g. prospectus/financial statements/annual report; · inappropriate behaviors of executives or directors e.g. embezzlement of company assets/ window dressing. 2. Complaints with sufficient details