year; (3) To adjust security measures to be commensurate with the risks of small business operators by, for example, reducing the penetration testing frequency, increasing access control
implement effective information technology risk control measures on a continuing basis without imposing undue burdens. The SEC is therefore conducting this public hearing on the proposed revisions to the
three years, covering additional access control measures to include both user accounts (or non-administrator accounts) and privileged accounts, and maintaining incident records with root cause analysis
, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
reporting system of firms in the capital market. Furthermore, the quality control system of the audit firms greatly contributes to the quality performance of auditors. The SEC now requires that auditors in
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
/Documents/Auditor/leadership.doc The Derivatives Act The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the