role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of
- derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to examine as requested. Clause 11. In case where the Office sees appropriate, derivatives broker
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with
evidence of service provider. Such keeping shall be readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine
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
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision. The operation under Paragraph 1