and superiors) – how is this prevented? What process does the firm do to eliminate or reduce this risk? F Effect of computerization on audits: 1 How is the firm dealing with the following (external
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
possessed prohibited characteristics under Division 1, an intermediary shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under
shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under Clause 29, the removal shall begin when [i] the court has made
the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6
, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall remove the name of such person from
shall remove such person’s name from the register of person qualified to be fund manager. Clause 7 . Any person to be approved to be listed in the register of person qualified to be fund manager shall
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means. "private fund management" 2 means the management of funds of a person or group of persons who