inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level…………………………………….…………… (Please specify the names of the engagement
managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession
) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data recording and reporting of information to the company’s
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
accessing the password by other person, the user should change the password instantly. · Having an encryption the file that keeping the password for the purpose accessing or modifying. [M] · Inspecting
inspecting by the SEC Office; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Clause 19/1 5 Clause 18(7) and 19 shall not apply to the
supporting trading volumes adequately and checking the clearing and settlement ability of the service user before sending trading orders; (b) having a clearing and settlement system provided by a clearing
cover at least the following matters: (1) having a system capable of supporting trading volumes adequately and checking the ability of the service user’s to repay obligations under derivatives and deliver
once a year to ensure the correctness of assets in custody. 4. Document keeping system for checking evidences of money or assets transferring of the fund for at least one year. Chapter 3 System to
or their assigned persons with whom the intermediary communicates and provides services; (4) a procedure for monitoring and inspecting communication and provision of services, namely: (a) monitoring