from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
made by an authorised person and examining of the correctness of the cheque preparation. 4. There should be a dividend payment system e.g. an allocation of the retained earnings and the list of
dividend payment, safekeeping and paying of cheques for dividend payment, examining documents related to the approval on cheque preparation made by an authorised person and examining of the correctness of
the correctness, completeness and trustworthiness of the financial reports of the company. Opinions concerning the adequacy of the company’s internal control system. Opinions concerning the
filings the offeror + FA together submit the application and certify the correctness of information provided. 2. Listing in the Stock Exchange no restrictions listing in the Stock Exchange is required 3
advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the
the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the analysis which the investment advisory company deliver to a customer; (4
correctness of information provided. 2. Listing in the Stock Exchange no restrictions listing in the Stock Exchange is required 3. Offer for sale through an underwriter no restrictions with restrictions 4