business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
obtaining an approval from Board of director of the company. In this regard, management company shall report such matter to the Office within five working days from the date of sale of such assets or the
) Reporting the results of the test, reviewing and evaluation under (1) and (2) to the board of directors or a board-appointed working committee in charge of implementation of the business continuity management
complete its consideration on the request under clause 4 within fifteen working days as from the date the Office has notified the management company in writing that the Office has received complete documents
securities business operator in the category of mutual fund or private fund management or as trustee or custodian; (2) a financial institution established under other laws and later licensed to undertake
shall not be applicable to the following assets or persons: (1) assets of a client which is a mutual fund, private fund or any other similar fund under management of a securities company in its position
transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there