· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to
Structured Notes or Debentures Which Impose Obligations on Debenture Holders ; (9) subordinated instruments eligible for inclusion as capital issued according to the Notification of the Capital Market
well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the
instruments eligible for inclusion as capital issued according to the Notification of the Capital Market Supervisory Board concerning Offer for Sale of Subordinated Instruments Eligible for Inclusion as
Newly Issued Structured Debentures or other Instruments having Structured Debentures; (e) subordinated instruments eligible for inclusion as capital issued according to the Notification of the Capital
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor