Company and its subsidiaries will closely monitor and control the operation to achieve our turnaround plan.
the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 ( In cases where the securities intermediary in the
) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 In cases where the securities intermediary in the category of investment consultant
) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 In cases where the securities intermediary in the category of investment consultant
receipt and payment transaction of the asset of the fund and preparing financial statement 3.4 Compliance Function Objective A management company shall have a compliance function to control and monitor
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
established internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent
- Institutional Customer for Short Sale (No. 2) dated 8 September 1998. -13- Clause 7/1 5354 Repealed. Clause 8 A securities company shall have in place an internal control system and shall monitor its employees