comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
years preceding the year of application filing until the date of application filing. □ 3. Supporting documents for consideration under Clause 4 (3) : □ (1) Organization structure of the applicant
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles
determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
Clause 23 and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors . Chapter 2 Organizational Structure, Operation System, and
company” means a company having any of the following characteristics: (1) a company relating to an intermediary by shareholding structure, either directly or indirectly, more than fifty percent of all