The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements
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)
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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/2020 20:30 Investment in bored pile and land lease agreement 12/11/2020 19:18 Land acquisition for the construction of the central warehouse, maintenance building and worker accommodation Remark: Data
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and