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
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
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
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
The SEC emphasizes the importance of supporting relevant parties and key stakeholders in the financial reporting ecosystem to ensure that they are capable of performing their duties appropriately
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
business operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory