had already complied with the mandatory[M] completely, it shall be deem that the company had complied with this Notification. Providing that if the company had already complied with the accredit [A], it
relevant to restore such data should also be stored. 8.4 Logging and Monitoring Objective: To completely record events and sufficiently generate evidence on the use of information systems for inspection of a
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
: ______________________________________ b) The investment objective/policy of the fund: ____________________________________________________________________ ____________________________________________________________________
processing completely, accurately, and effectively such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Clause 9 An intermediary shall establish
of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make