4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
exchange. (4) require variation margin from the client in order to restore the amount of initial margin available when the margin rate or value is below the maintenance margin rate or value prescribed by the
in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of
advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the
under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the
value of capital market product by [i] considering factors which impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction
impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction of an entity issuing capital market product and various business
relevant to restore such data should also be stored. 8.4 Logging and Monitoring Objective: To completely record events and sufficiently generate evidence on the use of information systems for inspection of a
เป็นต้น ผู้ประกอบธุรกิจควรตรวจสอบทรัพย์สินนั้นว่าได้มีการลบ ย้าย ทำลายข้อมูลเกี่ยวกับการปรับแต่ง (configuration) ที่สำคัญ หรือปรับค่าดังกล่าวกลับไปสู่ค่าตั้งต้น (restore from factory) ด้วยวิธีการที่ทำให้
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification