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
methods, setting timeframe and communication frequencies) 3 Does the firm specify the types of significant information that require escalated control over communication within the firm? If so, please
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
interest properly, and prioritize advancing the best interest of clients by identifying potential conflicts of interest in various areas such as the management structure, work system, control and risk
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
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