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
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
listed companies’ financial statements, being an auditor for non-listed companies’ financial statements, and being responsible for managing and supervising their audit firms’ quality control system for
Achievements Corporate Social Responsibilities SEC Strategic Plan for 2015 Appendix Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report 2014 Report
financial statements; (4) re-examining and reviewing compliance of rules; (5) supervising the internal control unit; (6) performing any other duties assigned by the SEC. In executing the duties under the
compliance of rules; (5) supervising the internal control unit; (6) performing any other duties assigned by the SEC. In executing the duties under the first paragraph, the Audit Committee shall report to the
in the matter of auditing financial statements; (4) re-examining and reviewing compliance of rules; (5) supervising the internal control unit; (6) performing any other duties assigned by the SEC. In
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the