, please provide us the results and check whether there is any corrective action for negative result. E Assignment of Engagement Teams 1 Does the firm have policies and procedures to monitor the workload and
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
there or have there been any principals or staff seconded on a “loan staff assignment” i.e secondment If so what are their roles at the client – are/were they in management positions? 7 Are there are any
enable assignment of assess rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal
appropriate risk management in a timely manner; (5) assignment of roles and responsibilities of the accountable persons and the responsible persons for the management of information technology risk under Clause
of having complied with such guideline, it shall be deemed that an intermediary has already complied with the requirements under this Notification. Chapter 2 Appointment or Assignment of Personnel in
intermediary has already complied with the requirements under this Notification. Chapter 2 Appointment or Assignment of Personnel in the Capital Market Business Clause 4 2 Personnel in the capital market
the service provider intends to assign another party to be a subcontractor at any level, the service provider shall obtain a written consent from the intermediary prior the assignment. Clause 22 In the
which case specify whether the assignment is at least based on the shareholding percentage and whether or not the Company’s rules and guidelines require an approval from the board of directors, and by
Notification of the Capital Market Supervisory Board Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency in the part concerning the assignment of