) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
responsibilities? 5 Does the firm have responses to quality risks to monitor the workload and availability of engagement partners and audit staff? If yes, please describe. 6 How does the firm manage planning
cloud provider’s services in compliance with Clause 9(2)(c), the intermediary should take additional steps as follows:| (1) monitor the service performance and IT security of the cloud provider to verify
the cloud provider’s services in compliance with Clause 9(2)(c), the intermediary should take additional steps as follows:| (1) monitor the service performance and IT security of the cloud provider to
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas the securities company may
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas