compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
securities issuers, financial advisors, auditors, market intermediaries, and stock exchanges. Both market integrity and investor protection could not be achieved without high quality financial information
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
(Renewable) • A CMSL holder is accountable and responsible to monitor its RR and must comply with the requirements and conditions as prescribe by the SC including reporting requirements, to have proper
meetings and conducting public hearings. (In 2012, the SEC held 22 public consultations via its website.) In case of a high impact regulation, a large-scale seminar may be necessary. Moreover, the proposed
with? E Staff Pressures – Internal: 1 How does the firm monitor and support staff in dealing with the pressures to meet deadlines/targets/recovery rates? 2 How does career progression work post
meetings and conducting public hearings. (In 2012, the SEC held 22 public consultations via its website.) In case of a high impact regulation, a large-scale seminar may be necessary. Moreover, the proposed