regulations for placement or requirement of margin from the members, including the methods of calculation and adjustment of margin value, consideration and review of appropriateness of the model and factors
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
the ones established by the IFAC; (4) “Quality Assurance Review Panel” means a body of persons appointed by the SEC Office to give advice and recommendations regarding supervision of auditors in the
Associations. Clause 17 . In conducting KYC/CDD process throughout the course of the relationship with clients (on-going KYC/CDD), securities company shall establish a review process to ensure that the client’s
Securities Industry Associations. Clause 17. In conducting KYC/CDD process throughout the course of the relationship with clients (on-going KYC/CDD), securities company shall establish a review process to
review process to ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records
technology systems in the following matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to trading services with respect to
for the Public; (2) In the case where the applicant for approval is a foreign auditor under Clause 6(2), the SEC Office shall: (a) review the facts according to the procedures and methods as prescribed
as necessary to promote the nternal audit, compliance, and quality control functions to review past credit rating actions in order to carry out the responsibilities of those functions. Further, a CRA