assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3
oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of
A. RAP and Audit methodology A.0 Risk Assessment Process for Engagement Performance element: Firm's Reference /Guidance Notes Description 1 What are the quality risks in Engagement Performance
control of the issuer. The materiality of the KPIs to an issuer from a sustainability/ESG perspective should be based on a materiality assessment of the issuer’s business. External guidance and/or tools
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
team constantly monitor the situation to manage and mitigate risks, assess the impact on the business and ensure that the operations complied with additional health and safety measures announced by the
as possible using an external reference or definitions to facilitate the assessment of the SPT’s level of ambition. Issuers are encouraged, when possible, to select KPI(s) that they have already