· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to