concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
engagement/client’s relationship: · discussing with the appropriate level of client’s management /those charged with governance the appropriate action the firm may take; · if the firm determines that it is
approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
, conflagration, storm or epidemics. 9.5 Human-caused disaster, such as, terrorist, being caught as hostage or cyber attack. BCI Good practice guidelines http://www.thebci.org/ High-level principles for business
or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the
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
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High