TISCO ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 27/12/2001 - 27/12/2001
· 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
); (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
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
executives; (2) evaluate the performance of the board of directors and executives. Clause 9 Derivatives clearing houses shall take at least the following actions with respect to organizational structuring: (1
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
financial advisory firm to re-evaluate the fair value of such investments with the use of the income-based approach and the discounted cash flow and Black-Scholes option pricing model. Based on the selection
derivatives exchange shall evaluate compliance with the rules and professional codes of ethics of such persons at an appropriate period of time and prepare a report on the evaluation results and actions against