information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
for all business units to monitor and manage risks. These committees closely monitor and evaluate the impact on all aspects of business including sales, expense, and liquidity, as well as ensuring that
Company’s performance, the Company is implementing a response plan and is continuing to monitor the situation closely in order to conduct the appropriate measures. For more details, please see section “COVID
team constantly monitor the situation to manage and mitigate risks, assess the impact on the business and ensure that the operations complied with additional health and safety measures announced by the
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
the principles for the recognition, measurement, presentation and disclosure of leases, and requires a lessee to recognize assets and liabilities for all leases with a term of more than 12 months
supersedes TAS 17 Leases together with related Interpretations. The standard sets out the principles for the recognition, measurement, presentation and disclosure of leases, and requires a lessee to recognize
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with