of the company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff
climate scenarios conducted Choose the appropriate impact assessment tools to determine the change in the selected risk metrics for each scenario. The tool can assess the extent to which the business model
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of
of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker
guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the
assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the clients; 5 Clause 9
necessary to properly implement the Principles in a specific jurisdiction. Further, the IOSCO CRA Code is not designed to be rigid or formulistic. It is designed to offer CRAs a degree of flexibility in how
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for