against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
deep-out-of-money • Premium ratio (measured against KRX options) by LPs • Stricter assessment of LPs, including the level of implied volatility • Supervise the order routing speed 3rd measure (Mar 2012
experience for non- partner audit staff is between 1.86 to 5.85 years (The mean is at 3.85 years) The above AQIs is used to assess how well- experienced the audit team members are. If the AQIs indicates the
Investment of Funds; (3) shall assess credit risk of deposit taker, issuer of certificate of deposit, drawer of bill of exchange, maker of promissory note as the case may be as a supplement for the usage of
Investment of Funds; (3) shall assess credit risk of deposit taker, issuer of certificate of deposit, drawer of bill of exchange, maker of promissory note as the case may be as a supplement for the usage of
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
ec ti on A ct iv it ie s Re po rt 1 J an ua ry 2 01 3 - 31 D ec em be r 20 13 comparison was not carried out. Audit procedures were not performed to assess the reasonableness and reliability of the