Remedying Identified Deficiencies 1 Does the firm evaluate the effect of deficiencies noted as a result of monitoring process and determine whether they are either 1) Instances that do not necessarily

commercial objectives – how does this affect reward / remuneration? 5 How do staff become partners – how identified / what qualification/ what preparation is made for this progression? 6 How do partners

or promissory notes shall not have any restriction to redeem before date of maturity; (b) segregated by its own custody which must be done in a manner that such money can be clearly identified without

clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by

asset used as a collateral shall be identified together with the limit of the obligations. In cases where the Company or a subsidiary has intangible assets which are significant to business undertaking

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

systems assets or equipment assets shall be identified and inventory of these assets should be drawn up an maintained. Such inventory shall be reviewed at least once a year or upon any material change

the appendix attached herein; (2) a person identified by a management company as a connected person in accordance with the nature of conflicts of interest which the management company is required to

to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for

identified the Office shall have the power to prescribe rules, conditions, and procedures in details pertaining to related subject as prescribe in this Notification in order to promote clarity in practice and