a committee serves as director in the company having high value of trading transactions, audit committee may be lack of independence in performing his/her duty. Q: Can audit committee be sibling? A
agencies and under several laws causes duplication of work, a lack of coherence and continuity. Besides, the highly active market in 1987 drew in short-term speculation that led to unfair market practice
(4) lack of a proper or incomplete accounting system (5) lack of cash flow forecasts and other budgets (6) lack of a business plan (7) increasing debt (liabilities greater than assets), and (8
applying for approval to be the major shareholder of the securities company or in any other report required to be filed with the SEC Office or SEC; (10) has worked in the manner indicating lack of ethic or
; lack of professional ethics or violation of or non-compliance with the regulations under the law governing accounting professions and other additional regulations prescribed by the law governing
actions that indicate a lack of professional ethics or standard of conduct in performing the duties of financial advisor. (5) Directors, managers, the executives of the investment banking unit adhering to
actions that indicate a lack of professional ethics or standard of conduct in performing the duties of financial advisor. (5) Directors, managers, the executives of the investment banking unit adhering to
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in