supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a securities company will continue or be restored in a timely
the year under review but decide to continue? If yes, explain. C External Pressures: 1 How is the firm’s practice influenced partner and audit staff’s behavior regarding selling of non-audit services? 2
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
instrument or this Act, the claim of compensation for the trust or the recovery of the trust property under Section 44, Section 45 or Section 46, can be exercised by any individual beneficiary. SECTION 50
claimant no longer intends to continue the arbitratal proceeding and the Office shall terminate the proceeding for such dispute, except where the Office deems it necessary and appropriate; (2) after the
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
securities company shall continue to operate within the permitted opening hours and days. Clause 9. This Notification shall come into force as from 16 June 2008. Notified this 4th day of June 2008. (Mr
uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph