Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
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August 2016 with respect to the procurement of adequate financial resources for covering risks and the detailed operation concerning the risk management. Clause 3 The derivatives clearing house shall
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
evaluate clients risk? 5 Regarding integrity checks, does the firm conduct, for example: • communications with existing or previous professional accountants; • inquiry of personnel/third parties such as
as detailed in (a) above, at a ratio of 5 existing ordinary shares and/or existing preferred shares to 4 newly issued preferred shares where any fraction of shares would be discarded, at an offering
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
) establish conditions and controls relating to information security in an agreement signed by both parties; (2) monitor, evaluate, review and audit service delivery of the outsourcee regularly; (3) re-assess