inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level…………………………………….…………… (Please specify the names of the engagement
managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession
, the intermediary should establish a process for monitoring and inspecting closely and regularly the operation of the relevant personnel to mitigate potential risks. 2.2 Mobile Devices and Teleworking
) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data recording and reporting of information to the company’s
accessing the password by other person, the user should change the password instantly. · Having an encryption the file that keeping the password for the purpose accessing or modifying. [M] · Inspecting
inspecting by the SEC Office; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Clause 19/1 5 Clause 18(7) and 19 shall not apply to the
the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
causes a movement or change in the client’s assets under custody of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction
or their assigned persons with whom the intermediary communicates and provides services; (4) a procedure for monitoring and inspecting communication and provision of services, namely: (a) monitoring