used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes
(7) supervise, monitor, and control the activities of outsourced information system development to ensure consistency with the terms of services; (8) carry out testing of the developed information
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
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity
. In the case that the cloud computing was employed to carry out critical activities , the intermediary shall ensure that at least the following matters is in place: 3.1 establish the policy on the use
evaluation of controls on complex systems; and · effect of Internet and e-commerce. 2 How is firm dealing with greater use of computer technology - at firm: · use of intelligent software to carry out audit
different from carry out a business cause of the securities company such as access risk integrity risk that escalate because of the operation of the outsourcing. Therefore, IT outsourcing have an objective
checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
execution or preservation of confidentiality (2) A management company should carry out transactions bearing in mind it is a representative of the client whereby making investment or issuance of trading order