Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Licensed Derivatives Broker. Clause 6 The SEC Office may announce a detailed guideline
Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Licensed Derivatives Broker. Clause 6 The SEC Office may announce a detailed guideline
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business
and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment
determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the
procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective communication guideline with the investors and internal management in the
system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into
to prevent conflict of interest; (2) risk management system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business
caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into appraisal in risk management