Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks

information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit

the cloud provider’s service and that the cloud provider should be responsible for any damages arising from any act or operation of other cloud providers. 3.3 in the monitoring, evaluation and review of

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)

of the subcontracted cloud provider on information security aspect which are comparable to those of the cloud provider or meet the international standards; (c) monitoring, evaluation, and review of the

of the subcontracted cloud provider on information security aspect which are comparable to those of the cloud provider or meet the international standards; (c) monitoring, evaluation, and review of the

rules or regulations; (4) evaluate members’ compliance with rules or regulations over a reasonable time period; (5) produce reports on the evaluation and actions taken against members who violate or do

competent personnel in the same level as where the management company would fulfil the functions. 2. There should be an ongoing performance monitoring of the delegatee e.g. performance evaluation, reporting

objective, purpose, or strategy of operation or procurement of benefit of REIT for investor’s understanding and use it as guideline for monitoring REIT business operation direction in the future; 2.2

matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to