· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
in the Securities Exchange. "competent officer" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette. "Office
market, and etc , the Client may sustain a loss due to its outstanding position in derivatives contracts at settlement date. 3.5 Risk Associated with Failure to Execute Stop Loss Order A derivatives agent
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
trading in the Securities Exchange. "competent official" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette
dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business