system in safeguarding clients’ confidentiality. The SEC therefore urged EY to rectify the system to be more stringent and the company has already done so. In addition, the SEC has sent a circular to all
companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, the
Investigation (DSI), the Ministry of Justice, to discuss situations in the stock exchange and update progress on the measures for building trust and confidence in the capital market, especially regarding strict
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
clients were affected by an outbreak of COVID-19, and hence postponed services of the Company due to strict preventive measures limiting access of external parties into the clients’ sites. Please be
be certified or registered and subject to inspection by relevant governmental agencies, strict supervision imposed on limited companies or public limited companies should not apply. This would allow
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
severe outbreaks in Q2- 2021, which impacted a wide range of economic activities, particularly the tourism and service sectors with more stringent disease-control measures. However, this control measure is
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility