The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements
perform their duties transparently for the best interests of shareholders. On December 1, 2004, the SEC issued a circular letter to all listed companies advocating them to determine the qualifications of
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
allowed to invest in derivatives only for hedging. Furthermore, for provident funds with a ?do it yourself? (DIY) policy that allow the fund members to determine their own investment proportion in
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
determine a measure for selection and consideration a suitability of provider, including control and inspect the compliance of the provider strictly in order to assure that the provider is able to comply with
adequately reduce the risk of spreading even the Company has prepared measurement to control. Moreover, the situation is an event that fluctuates all the time and cannot predict what it will be. As such, after
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control activities in order to prevent or minimise possible damage. In this case, the