business continuity management and plans;   - have a customer onboarding and Know Your Customer system (KYC) that are appropriate to evaluate product risks against characteristics of each customer

regulations on securities and derivatives business licensing SEC files a criminal complaint against Zipmex and its former director and CEO for disseminating or certifying information potentially misleading in

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

disseminating credit ratings that are the result or subject of credit rating actions and the related reports, and for when a credit rating will be withdrawn. B. Integrity of the Credit Rating Process 1.18 A CRA

companies should be careful in disseminating news or information related to the companies’ operations because disseminating news or information that is inconsistent with facts or may cause material

using alias "Modkanhoon" including the person disseminating any statement via "Kanhoon" and "Tradehoonshow" Line Openchat group disseminated the false or materially

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

, and enforce policies and procedures that clearly set forth guidelines for disseminating credit ratings that are the result or subject of credit rating actions and the related reports, and for when a

Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with

’ meeting and disclosure of material information and shall also comply with relevant regulations. Moreover, directors, executives and listed companies should be careful in disseminating news or information