· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
imposed by the company management in several matters including audit procedures to evaluate effectiveness of internal control over small-sized gas cylinders quantity, deposits received for small-sized gas
the assessment process to evaluate the qualifications of the applicants seeking licenses to operate digital asset businesses. If an applicant is qualified, SEC will propose Minister of Finance to
with a divide-and-conquer strategy. 5. Is your engagement focused on multiple asset classes? If so, you will need different tools for them and must set different expectations for outcomes. 6. Are you
DJSI. If yes, assess whether the disclosure can be applied to TCFD 3.3 3.4 Evaluate internal risk management processes and consider whether they can be adapted to incorporate climate-related risks
evaluate the quality risks, how many levels are determined, and what are the definitions for each level? For example, how many level of likelihood are there, and what are the definitions for each likelihood
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
intended to limit the spread of COVID-19. The health and safety of our staff and customers remains our top priority. Our teams constantly evaluate the situation and use appropriate protocols to serve