· 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

services to investors continuously and clients’ digital assets are securely safeguarded.   The SEC requires that digital asset business operators have efficient risk management and be equipped to tackle

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

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

responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded.    The SEC requires that digital asset business

.......................................................... 51 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 9 About the Principles The Principles are intended to help policy makers evaluate and improve the legal, regulatory, and institutional

personal data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in 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

imposed by the company management in several matters including audit procedures to evaluate effectiveness of internal control over small-sized gas cylinders quantity, deposits received for small-sized gas

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 issue