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Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
and able to control a risk and having a content cover guideline for selection and controlling a outsourcing operation. Compliance Guideline 1. Service provider selection o Determine regulation for
. Moreover, there was a high base in Q4’2017 since the market reacted to an announcement of the new excise tax imposed to RTD Tea before the regulation became effective in mid Sep’17. Although the challenging
which automatically meet the mitigation component • Installation of T&D transformers that correspond to or comply with the Tier 2 (2021) EU Regulation requirements on transformer eco-design. • Equipment
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and