provider which shall include the outsourced function; (c) information security, confidentiality and privacy regarding information of the intermediary and clients ; (d) service provider shall comply with the
for supporting business continuity To operate a critical business function continually, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the
investment decision accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by
decisions accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by giving an
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
Exchange Commission. Chapter 1 Application for Approval ______________________ Clause 4. Persons who obtain approval to be investor contact shall be divided into two categories which are Category A Investor