business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
is no any fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration
fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration who is a
fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration who is a
shares of KPN Academy Company Limited (“KPN Academy”) in the proportion of not less than 57.52 percent of total number of sold shares of KPN Academy from the existing shareholders, i.e. (1) Mr. Nop
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of
evaluate clients risk? 5 Regarding integrity checks, does the firm conduct, for example: • communications with existing or previous professional accountants; • inquiry of personnel/third parties such as