: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
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
Online Submission CA - Download Forms / Manuals See canceled document >> Information technology Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Office of the
(section 110) |- Securities Registrar Business (section 222) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and
) |- Holidays (section 110) |- Securities Registrar Business (section 222) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
e-service Online Submission See canceled document Others (Securities Business) >> Terms and Condition for Information Technology Type Title Section See Document Status Notified Date Effective Date 1