customer. Clause 19. Derivatives broker shall arrange to have information or documents or evidence used for opening of the account sufficiently to identify the customer’s financial condition, debt repayment
to have information or documents or evidence used for opening of the account sufficiently to identify the customer’s financial condition, debt repayment capability, objective of investment and
activities. D. Trend Information and Profit Forecast or Profit Estimate 1. The issuer should discuss, for at least the current financial year, the business and financial prospects and identify any significant
performance and financial position • Assess the impact that a further disruption of activities would have on the business and identify which areas of activity should be prioritised when taking steps towards
business, financial performance, and financial position • Assess the impact that a further disruption of activities would have on the business and identify which areas of activity should be prioritized when
guidelines. 9. The organization can identify and assess changes that could have impacts on the system of internal control. Questions Yes No 9.1 The company assesses changes of external factors which could
a computer system relating to trading services with respect to derivatives to be intruded. Clause 29 When an incident occurs, the derivatives exchange shall collect relevant information to identify
current financial year, the business and financial prospects and identify any significant recent trends in production, sales and inventory, and costs and selling prices since the latest financial year. The
Policies, Procedures, Controls and Disclosures 2.6 A CRA should establish, maintain, document, and enforce policies, procedures, and controls to identify and eliminate, or manage and disclose, as appropriate