the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
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
Issuing company · To protect investors from unfair practices and ensure the availability of adequate information for making a right investment decision, the SEC requires that companies obtain an
Issuing company · To protect investors from unfair practices and ensure the availability of adequate information for making a right investment decision, the SEC requires that companies obtain an
) If no, how does the firm obtain assurance that the work done is appropriate? 3 If the Service Delivery Center performs audit procedure for the firm, how does the firm direct and supervise individuals
1.5 Where an Institutional Investor outsources its stewardship duties and responsibilities, the Institutional Investor should monitor the discharge of these duties and responsibilities to ensure that
review is adequate, and the audit has quality. If the engagement teams fail to obtain sufficient appropriate audit evidence, the partners and the managers should be able to identify the issues before