provisions regarding the employees’ savings and the employer’s contribution payable to the fund; (7) the provisions regarding the rules and procedures for the computation of benefits entitled to the employees
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In
. ......................................................................................................................................................... As at (the last day of the pervious accounting period).................................., the Audit Firm has the total of ..............employees, comprising of the employees who provide auditing
complaints relating to customer solicitation arising from the performance of duties of the representative or the employees of the marketing representative of private funds in a similar manner with handling of
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system
evaluation of the outsourcee , review of the outsourcee ’s qualifications, and provision associated with the use of services to ensure mitigation of risks from the outsourcee ’s access to the organization’s IT