records. Application controls are relevant to procedures that are used to initiate, record, process, and report transactions or other financial data. They can be designed to be both preventive and detective

supervision, initiate cooperation and address key challenges, which can lead to common practices at the regional level in the future. IOSCO APRC Meeting will discuss important and challenging issues such

· 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

and to initiate a process for independence assessment and proper documentation. Thus, it is important that audit firms actively communicate to their employees their policies and procedures on 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

Article 4(1)(39) of MiFID II • Algorithmic trading (AT): trading in financial instruments where a computer algorithm automatically determines individual parameters of orders such as whether to initiate the

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

were subject to civil sanctions under Section 296 of the SEA, as amended, too.   The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip

) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA.  The Civil Sanction Committee has resolved to authorize SEC to initiate civil

. } Develop a focus list. } Establish which types of engagement you are likely to employ as well as your level of resources to achieve your goals. } Determine how you will initiate communications with the