assess the incremental risks associated with their staff providing personal services while other firms, which collected the necessary information, had no means to verify the reliability or the completeness
reviewers are encouraged2 to assess the relevance, robustness and reliability of selected KPIs, the rationale and level of ambition of the proposed SPTs, the relevance and reliability of selected benchmarks
technology and innovation strategies. The SEC monitors factors which may affect the reliability and stability of the capital market as a whole, including systemic risk, and collaborates with other financial
performance against the SPTs as well as its related impact and timing of such impact, on the bond’s financial and/or structural characteristics; and (iii) any information enabling investors to monitor the level
reliability of financial reporting by selecting suitable accounting policies and implementing effective internal control systems. In other words, they are the first line of defense in financial reporting. Next
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
did not identify clear roles and responsibilities and did not create a specific team to monitor these issues. 2. Relevant ethical requirements Most auditors adhere to professional ethics, and most audit
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
stakeholders, and thus bolstering further confidence of both local and foreign investors in our capital market. Due to the substantial effects of audit quality on the reliability of the available financial