derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
infrastructure risk. Compliance Guideline · Segregating l the developer from the system administrator that perform in the production environment. · Providing a written job description which identified clearly
developer from the system administrator that perform in the production environment. o Providing a written job description which identified clearly duties and responsibilities of each type of work and
and effective oversight of the accounting and audit profession. (ii) Securities commissions and stock exchanges should require listed companies to disclose on a timely basis any change of auditors and
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
delegate its duty to other persons except where: (1) the trust instrument provides otherwise; (2) it is a transaction that is not personal in nature and needs no capability of trustee’s profession; (3) it is
not personal in nature and needs no capability of trustee’s profession; (3) it is a transaction that a reasonable prudent owner of the property of the same characteristics as the trust property, who
transaction that is not personal in nature and needs no capability of trustee’s profession; (3) it is a transaction that a reasonable prudent owner of the property of the same characteristics as the trust
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the