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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
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who have led and contributed to these Standards: Fabienne Michaux (lead author for the standards development), Carol Adams, Rosemary Addis, Susan De Witt, Ellen Maginnis, Liza Murphy, Maria Laura