against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
· 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
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
, 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
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
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