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
Exchange dated 22 December 2004 and its amendment, which are in force on the date on which this Notification comes into force, shall remain in force to the extent that they are consistent with or not
directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of
be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard
the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary
. 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
and reporting of defect, efficiency and overall conditions of cloud service; (5) define clear roles and responsibilities of the cloud provider on the data backup, defect resolution process, service
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for