content cover the following matter [M] · Security of the Information Technology of a Securities Company. · Segregation of Duties. · Physical Security. · Information and Network Security. · Change Management
readiness in term of financial and management capability to undertake derivatives business as well as to improve the issuance of derivatives business license so as to cover a number of derivatives business
as well as to improve the issuance of derivatives business license so as to cover a number of derivatives business categories so that licensed operators are able to offer a fully integrated services in
cover the following subject matters in accordance with appropriate periods: (a) activities relating to the approach of risk management or allocation and management of IT resources, for example, a summary
cover the following general matters: · ensure firm’s commercial considerations do not override the quality of work performed; · The firm’s performance evaluations, compensation, and promotion (including
applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
) determining a compliance plan and operational procedures clearly, which should cover the overall business operation upon approval of the board of directors or the executive board. In this regard, the compliance
cover at least the following matters: (1) having a system capable of supporting trading volumes adequately and checking the ability of the service user’s to repay obligations under derivatives and deliver
Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient