Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
risks Transition risks • Policy and regulation • Technology development • Consumer preferences Physical risks • Chronic (e.g. temperature, precipitation, sea levels) • Acute (e.g. heatwaves, floods and
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7. Computer
นักงานที่เกี่ยวข้องกับการบันทึก จัดเก็บหลักฐานและติดตาม (logging and monitoring) และการบริหารจัดการเหตุการณ์ที่อาจส่งผลกระทบต่อความมั่นคงปลอดภัยของระบบสารสนเทศ (information security incident management
(authentication log และ access log) และการดำเนินงาน (activity log) ของบัญชี privileged user อย่างเหมาะสม (7) สอบทานบันทึกการยืนยันตัวตนและการเข้าถึง (authentication log และ access log) และการดำเนินงาน (activity log
operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
Centre on ICMA’s website. Material KPIs should be consistent with the issuer’s strategy and reference a core, significant and relevant business activity, for which the outcomes are actually under the
of the subcontracted cloud provider on information security aspect which are comparable to those of the cloud provider or meet the international standards; (c) monitoring, evaluation, and review of the
of the subcontracted cloud provider on information security aspect which are comparable to those of the cloud provider or meet the international standards; (c) monitoring, evaluation, and review of the