Article 3 Securities companies and securities investment consulting agencies engaged in the securities investment advisor business shall abide by laws, administrative regulations and these Provisions, strengthen compliance management, improve internal controls, prevent conflicts of interest, and effectively protect the legitimate rights and interests of clients.
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Its primary aim is to improve internal controls for financial reporting by establishing mandatory requirements for assessing risks to information system vulnerabilities that can be easily exploited.
其主要目标是,通过对可能被利用的信息系统弱点进行评估而建立一些强制需求,以此提高对财务报表的内部控制。
The California company said in a statement that it "was profoundly sorry" for the breach, adding that it had since worked to improve its internal controls.
加州公司在一份声明中说,“被深深地抱歉”为突破口,并补充称,自致力于改善它的内部控制。
How to strengthen the Chinese life insurance companies 'internal controls that based on risk management, as well as improve their solvency, should be researched more deeply.
如何在风险管理的基础上加强中资寿险公司的内部控制,改进并巩固其偿付能力是值得研究的课题。
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