on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
work for such persons to have full or partial managing power in the securities company.
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no
services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
“opinion shopping”? 10 How does firm deal with domineering/awkward personalities at Board or senior management level? 11 How does firm deal with client disagreements? D Internal Pressures: 1 How do partners