, 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
); (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
) 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
investment products within the same asset class. • Use appropriate metrics to compare similar investments. • Evaluate the real rate of return on investment products. • Confident to undertake research on
after the technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior
technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior management as
relation to threats to independence and objectivity of EQR; (d) complying with provisions of law and regulation (if applicable); If yes, please respond to following questions. - How does the firm assess an
and investors to the table, but evolve over time as methods and reporting practices improve. For example, criteria that involve project-specific impact assessments, although the most rigorous, are