with indirect connection to the organization’s internal network systems; “ cloud computing ” means a type of internet-based computing that provides shared computer processing resources and data on demand
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
conducting of the business and such personnel must have knowledge and ability appropriate to their duties. Guidelines 1. Human resources planning of each unit should demonstrate the adequate amount of
pollution, etc. In addition, the Company should clarify the operational plan that reflects the Company’s capacity of maximizing the use of resources to the fullest degree. The Company may also disclose the
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
5.3 Number of investment consultants (if any): ...... Person(s) 5.4 Back office operation Located at a full branch office Sharing resources with a full branch office Located at
from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
resolved appropriately? Are the nature, scope and conclusions resulting from consultation documented? 8 Are sufficient resources available to enable appropriate consultation to take place? If yes, please