and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
(7) supervise, monitor, and control the activities of outsourced information system development to ensure consistency with the terms of services; (8) carry out testing of the developed information
) supervise, monitor, and control the activities of outsourced information system development to ensure consistency with the terms of services; (8) carry out testing of the developed information systems by