the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
independence policies apply. 14 Does the firm have any engagements where it acts as a principal auditor or accountant and another firm is engaged to perform segments of the engagement? If yes, describe how the
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the capital products denominated in
foreign country; (2) there is no ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the
systems, if needed, to ensure availability as required under (3). Clause 13 An intermediary shall create an awareness of IT policy and related procedures among its employees and contractors who are engaged
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
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
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
: 1. linking, promoting or generating mutual benefits or benefits to the same or nearby communities; 2. generating or to generate income not less than eighty percent of the total aggregate income of all