· 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
moment, the SEC official who accepts the application and the applicant must sign their names on the record of defect and the list of evidentiary documentation, and a period of time for the applicant to fix
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
and reasons to the trust manager without delay upon any occurrence of an event or change that may affect the value of infrastructure assets; (3) in the case that an error or defect is found that may
established 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
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
filled up at the moment, the SEC official who accepts the application and the applicant must sign their names on the record of defect and the list of evidentiary documentation, and a period of time for the
the assessment process to evaluate the qualifications of the applicants seeking licenses to operate digital asset businesses. If an applicant is qualified, SEC will propose Minister of Finance to