, 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
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
technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior management as
shall undertake the securities borrowing and lending business within that restriction. In the case where the business operator under the first paragraph wishes to relax or remove such restriction, the
property fund manager shall be deemed terminated and the Office shall remove the name of such person from the register of person qualified to be fund manager if such approved person cease to be the manager
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
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