responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
policy relevant to their job function; (2) communicate to the employees and contractors that they should exercise precaution and refrain from using the organization’s information systems that may likely