security in accordance with the following criteria: (1) manage and control computer network systems in a secure way to ensure prevention of any action that may cause a risk to information in networks; (2

year;             (3) To adjust security measures to be commensurate with the risks of small business operators by, for example, reducing the penetration testing frequency, increasing access control

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company

Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks

"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field

in quality control system 1. 2. Details of other auditors approved by the SEC Office of.......persons. Names and Last names CPA License No. Position Approval Period 1. 2. 3. (Additional details can be

in quality control system 1. 2. Details of other auditors approved by the SEC Office of.......persons. (Additional details can be submitted as attachments.) Details of the partners or equivalent in the

) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership , control or management, common quality control policies and procedures, common https

January 31 to July 30, 2007. The suspension was due to Phornphimon?s sending of improper trading orders to the trading system and conspiring with persons who were neither trading account owners nor