/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from

Office shall have the power to prescribe rules, conditions and procedures in detail related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the

rules, conditions, and procedures in detail relating to the matters specified in this Notification to provide clarity on compliance and to facilitate the inspection of such compliance by the SEC Office

rules, conditions and procedures in details concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case

for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this

Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this

personal relationships that might create a conflict? 4 Long Association / Rotation: Do they require that: · the length of time held by key audit partners and staff is monitored for ; and are subject to

identified the Office shall have the power to prescribe rules, conditions, and procedures in details pertaining to related subject as prescribe in this Notification in order to promote clarity in practice and

shall supervise a service provider at least in the following matters: (1) the appropriateness of the policy and operation of the service provider shall be monitored and reviewed regularly, at least an