_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
that select Big 4 auditors are firms that have higher reporting quality. As a result, without auditor factors, these firms innate fewer mistakes that require audit adjustments. For auditor factor
and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days
formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days from the day the testing is completed. Clause 36 In
) evaluated by a person with required knowledge and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...