] · Providing the trespass monitoring system and abnormally operating system via the network system whereas it shall monitor consistently the following matter at least [M] · Attempt to trespass via the network
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
Instruments (No. 11) dated 25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of