, (4) management override of internal controls, (5) fabrication of accounting transactions in the information system by using the executives’ privileged access right to alter information, and (6
companies comply with the following key regulations: 1) To provide several investment plans for members to choose from, including a qualified default policy for those without expressed preference; 2) To
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as
company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling o Storing the importance computer devices such as server device network device etc. in the computer centre
workings of the securities and futures industry; to provide protection for the investing public; to minimise crime and misconduct in the securities and futures industry; to reduce systemic risks in the
quality objective as mentioned in TSQM1 and 2? If not, please provide the details of the minimum objectives that are absent and describe any reasons for their absense. 1.2 Does the audit firm completely
significantly alter the returns and risks of the fund, for example, the calculation and announcement of asset value, unit value, subscription and redemption prices. The consultation paper can be
proposed regulations will no longer limit types of business operators permitted to provide services in foreign currency denominated products; accordingly, all business operators will be able to provide such
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system