securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A

least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from

consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there

--------------------------------------- Clause 5. Derivatives broker shall set organization structure, policies and scopes of duties and responsibilities including business operation of working units related to undertake derivatives brokerage

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well

least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work

), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to