be impaired, and the audit quality shall not be compromised. 8. Details of the Quality Control System of the Audit Firm For the SEC Office’s consideration regarding the policies and procedures on the

been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial

order to engage in securities transactions on behalf of its clients (omnibus accounts), securities company may merely conduct the KYC/CDD on the financial institution instead of the financial