needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
finished. etc. [M] · Determining a service provider prepare a compliance manual and related document and modify it up to date. [M] · Determining a service provider provide report the functionality, other
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
servicing agreement, the intermediary shall refuse to provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31
. ......................................................................................................................................................... As at (the last day of the pervious accounting period).................................., the Audit Firm has the total of ..............employees, comprising of the employees who provide auditing
investors having the same characteristics as persons under sub clause (a) to (q) mutatis mutandis . (3) “ market maker ” means any person registered as market maker with a derivatives exchange to provide
for determining a required resource. Therefore, it should be approved by senior management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning
provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31 to be current at reasonable time or when it appears
modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment
Registration Statement and the Annual Registration Statement. Part 2.2 Business Operation 1. Policy and overview of business operation Provide an overview on the background and nature of the businesses operated