______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore
issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the
: (1) to issue the TSRs with a maturity period of no longer than two months and to determine a period for notifying the intention to exercise the TSRs to be no later than fifteen days before the exercise
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
believes that the audit firms are in the best position to determine the real root causes of their deficiencies and to implement effective remediation plans The following section provides key inspection
reliability of financial reporting by selecting suitable accounting policies and implementing effective internal control systems. In other words, they are the first line of defense in financial reporting. Next
relevant technology element Identify and assess risks arising from IT Understand, identify, and test relevant ITGC Conclude on risks arising from IT and determine audit response Evaluate deficiencies in ITGC
Change and net zero goals, Sustainable Development Goals (SDGs), etc.) or to recognised Best-Available-Technologies or other proxies to determine relevant targets across environmental and social themes. 3
crucial for the auditors to suitably develop an expectation of the recorded amounts, sufficiently evaluate the reliability of data from which the expectation is developed, and determine an acceptable
technology and innovation strategies. The SEC monitors factors which may affect the reliability and stability of the capital market as a whole, including systemic risk, and collaborates with other financial