manipulation and other offences under the securities laws, were seized. The SEC will examine the seized documents and evidence for consideration of further legal actions against the offenders.
related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales
whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all
investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation
for the Office or investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under
related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to
evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of
- derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to examine as requested. Clause 11. In case where the Office sees appropriate, derivatives broker
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with