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
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
computer centre officer monitor the compliance all the time. [M] o Providing record system for entering the computer centre and such record shall compose of personal detail, time of entering and there should
difficult or contentious matters or matters involving differences of opinion? - How does the firm monitor and support the EQr to ensure they can perform their review in a timely and efficient manner
developments regarding ownership engagement were also discussed. For investors, voting at AGMs can be challenging, as it is hard to monitor thousands of firms in which they invest in many jurisdictions and they
opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of the client before opening the account. In
the application document for an account opening including client identification, beneficial owner and controlling person. In this regard, the securities company shall consider the ability to pay debt of