3. In the case that the cloud computing was employed to carry out critical activities, the intermediary shall ensure that at least the following matters is in place: 3.1 establish the policy on the
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
used in determination of partner’s remuneration? (Please describe the criteria e.g., job portfolio, audit fee. You do not need to specify amount of remuneration, ) 14 Does the firm carry out staff
disclose how they carry out the wishes of their clients with respect to each principle of the Code that is relevant to their activities. 12. Signatories are encouraged to review their policy statements
evaluation of controls on complex systems; and · effect of Internet and e-commerce. 2 How is firm dealing with greater use of computer technology - at firm: · use of intelligent software to carry out audit
computer technology - at firm: • use of intelligent software to carry out audit procedures; and • computer generated audit files _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal)
clearing house shall set out rules on how to carry out the actions under Paragraph 1. Clause 17 A derivatives clearing house may not use an outsourced service provider with respect to custody of assets
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program
engagement team carry out their work in accordance with the planned approach. (d) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach
obtain ACMF Pass and carry out investment advice which are permitted activities under the MOU in Host Jurisdiction. This handbook set out the guidance on ACMF Pass by: 1.2.1 Explaining the scope of