undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
disclosed the names of the customers or suppliers to other persons such as investors or securities/investment analysts, such information shall be included in the annual registration statement to ensure equal
investors or securities/investment analysts, such information shall also be disclosed herein to ensure equal information for investors. 1.3 Shareholding Structure 1.3.1 Shareholding structure of the group of
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
, the intermediary shall comply with Clause 11 and Clause 23(4) of this Notification only. Clause 4 The rules in detail under this Notification are prescribed to ensure that intermediaries comply with the
of the board of directors to ensure that the use of information technology in the business operation facilitates the intermediaries in achieving the specified goals with appropriate use of resources
) Developed internally by the firm? If no, How does the firm ensure that assurance engagements are performed in accordance with auditing standard? How does the firm ensure that audit manual reflect recent