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
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
business in the category of venture capital management; consideration on which will be taken into account its internal control system, record keeping system and system for making reports concerning venture
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field
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