management process; (d) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords
) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords; (3) there shall be
) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords; (3) there shall be
fund custodian. Checklist for Supporting Documents of an Application for Renewal of an Approval of Private Fund Custodian Particulars For the SEC Officer □ 1. Summary report of practices which does not
. Summary report of practices which does not comply with the law governing the undertaking of the applicant’s business for the period of past three years. □ 2. The information regarding personnel of the unit
rules, conditions and procedures in details concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case
concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case where it appears to the Office that the securities
this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case where it appears to the Office that the securities company violates or
with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing and desisting unfair derivatives trading practices and trading abuse, the derivatives
and desisting unfair derivatives trading practices and trading abuse, the derivatives broker shall prescribe conditions as prescribed and notified by the SEC Office in the aforesaid agreement made with