Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7. Computer
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public Holidays (Section 110) | - |- Segregation of Finance and Securities Business & Merger (Section 90
Holidays (Section 110) | - |- Segregation of Finance and Securities Business & Merger (Section 90) | - |- Related Organizations with Securities Business (Section 230) | - |- Others
|- Appeal |- Others | - |- Public Holidays (Section 110) | - |- Segregation of Finance and Securities Business & Merger (Section 90) | - |- Related Organizations with Securities Business (Section 230