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 unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level…………………………………….…………… (Please specify the names of the engagement
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory
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
) 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
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
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
, 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
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10
objectives. Guidelines 1. There should be an assessment of capability in establishment of a fund in accordance with the relevant laws and related notifications by examining the plan for establishment of the