programs/checklists and describe any such changes or updates. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures, and TSQM A5 To promote timeliness and
used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
arrangement to ensure that the relevant service UNOFFICIAL TRANSLATION provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out
established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the
, adequate monitoring processes, and human resources issues. To address the deficiencies effectively, the audit firms should conduct root cause analysis to find out why their audit performance has fallen short
Business Development, Ministry of Commerce, shall be authorized to make a change of and an addition to wordings in order to comply with the order of the registrar as well as carry out any necessary or