plan on information systems in accordance with the results of risk assessment; (b) define the scope of technical audit on information systems to cover key assessed risks, provided that such audit shall
information systems in accordance with the results of risk assessment; (b) define the scope of technical audit on information systems to cover key assessed risks, provided that such audit shall not affect any
information systems in accordance with the results of risk assessment; (b) define the scope of technical audit on information systems to cover key assessed risks, provided that such audit shall not affect any
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
corporations depending on their inherent technology risk, which varies in terms of nature of business, organizational structure, business size and complexity of the utilized technology. In addition, the scope of