Microsoft Word - Eng-SET Q4-19 audited Final Ref: FASET 01/2020 February 24, 2020 Subject: Report the operating result for the year ended December 31, 2019 To: President of the Stock Exchange of
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
Re: Operating System Relating to the Undertaking of Fund Management Business
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
qualifications and does not possess prohibited characteristics as follows: (1) having readiness and sufficiency on personnel and operating system to ensure that the operational function of the intermediary shall