capabilities; · Experts are available, if needed; · Individuals meeting the criteria and eligibility requirements to perform engagement quality control review are available, where applicable; and · The firm is

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency

communicating the results of each engagement. It should also cover consultation during the course of engagement. Following is the checklist that will help to assess engagement performance of the firm. Particulars

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC

institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to