management of IT resources, including criteria to identify IT priorities, that takes into consideration the company’s business model. Principle 6 Strengthen Effective Risk Management and Internal Control
strategies, plans and targets. b) Ensuring robust system for risk management and internal control c) Clearly defining management’s responsibilities d) Overseeing appropriate policies and plans for resource
board of directors to be members of “audit committee." Audit committee is responsible for reviewing financial statements, internal control system, and ensuring that the company has disclosed information
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
preparing for the FSAP assessment since 2016 by conducting self-assessment, amending regulations and processes to close any regulatory gaps found deviated from the newly published IOSCO Principles (May 2017
preparing for the FSAP assessment since 2016 by conducting self-assessment, amending regulations and processes to close any regulatory gaps found deviated from the newly published IOSCO Principles (May 2017
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors