Operation. 8. IT Outsourcing. (Translation) -2- Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the
, audits of revenue recognition based on the percentage of completion method, and assessments of the appropriateness of management’s use of going concern assumption. Our root cause analysis has revealed that
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
Client Acceptance: Firm's Reference /Guidance Notes Description 1 The standard documentation highlights all important matters for consideration, including: • integrity and identification checks on client
Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
Subcommittee, Regulations Consideration Subcommittee on the Operation of Mutual Funds Management Business -- Property Funds, Infrastructure Funds, and Real Estate Investment Trusts, the Securities and Exchange
system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into
to prevent conflict of interest; (2) risk management system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business