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
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
on the upcoming or intricate financial reporting standards. Additionally, the SEC will continue to encourage listed companies to establish a more robust internal control system. In so doing, we will
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
the Company. 4) There will be no significant change to the Board of Directors of the Company and the control or the major shareholders having the control over the Company Following the acquisition, the
be no significant change to the Board of Directors of the Company and the control or the major shareholders having the control over the Company Following the acquisition, the Company and its subsidiary
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020