of related parties. · ethical requirements; · the firm’s competence to conduct the audit , for example: · Firm personnel have knowledge of relevant industries or subject matters; · Firm personnel have
the firm assures that all staff has sufficient accounting and auditing knowledge enough to perform their audit work? 12 Does the firm conduct significant amount of in house training? 13 Does the firm
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each of or overall capital market products ; (2
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each or overall capital market products ; (2) the
relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The personnel should have knowledge and understanding of the responsible work e.g. the compliance officer should have
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
providing services that involves the followings: (a) selecting and assigning personnel having knowledge and understanding of each type of capital market products or services to be seller or service provider
Operational Matters and Part II : The Product Restrictions of Qualifying CIS as prescribed in Appendix C : Standards of Qualifying CIS of the Memorandum of Understanding on Streamlined Authorisation Framework
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of