technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the
technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
business continuity plan to minimise disruption to operations and ensure that the business remains viable during the virus outbreak. • Perform stress test to evaluate impacts on the business, financial
implemented a COVID-19 business continuity plan to minimize disruption to operations and ensure that the business remains viable during the virus outbreak. • Perform stress test to evaluate impacts on the
a guidance for companies to evaluate their internal control adequacy. This evaluation form is based on COSO1s framework (The Committee of Sponsoring Organizations of the Treadway Commission) revised
to cooperate with UNDP in driving towards Sustainable Development Goals within 2030, and to implement the National Action Plan on Business and Human Rights (NAP) the first phase 2019 – 2022. The NAP
follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or
to implement of the I Code. Implementation of the I Code by Institutional Investors will enhance confidence by domestic and global markets clients and trust that investment decisions and management are
to implement of the I Code. Implementation of the I Code by Institutional Investors will enhance confidence by domestic and global markets clients and trust that investment decisions and management are