internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work

· 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

. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned

been granted prior approval by the authorized Committee or management concerned; (c) number of persons and information of the personnel who are responsible for risk management arising from derivatives

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and

which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities

); (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

substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to