Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
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
(Newest) Date (Oldest) ’ digital assets under BX’s control or possession to other wallets which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
) That is clearly aimed at profit or cost-sharing or shares common ownership , control or management, common quality control policies and procedures, common https://publish.sec.or.th/nrs/6561p.doc หนังสือ
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) 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
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possession OR "electronic possession" OR "electrical ownership" OR "electrical control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field