experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
? If yes, describe 18 Does the firm have staff consultation unit or counselor/counselee system? D Performance Evaluation 1 Does the firm have documented and organized appraisal policy and process? If yes
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the
continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
which covers the methods for selection and evaluation of cloud providers, review of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence; (2) policy on
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the