Rules for Custody of Customer Assets and Essential Details of Custody Agreement

preparation and submission of financial statements  The financial statements and consolidated financial statements of the company shall be accurate and reliable, complying with the rules as specified in Section

, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks

the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department

Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential

management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has

The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong

Limited ("1000X") of transactions occurring with 5,000 wallet addresses on its website, https://www.1000x.live ("1000x.live"). This system was essential for the successful operation of