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
practical challenges, providing valuable insights for auditors to apply in their financial audits of IPO and listed companies. The event was held at the TFAC Building on 12 January 2024.
in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well
(Reorganization) จากโครงสร้างการท างานตามหน้าที่ (Functional Organization) สู่การบริหารงานในรูปแบบของหน่วยธุรกิจ (Business Unit) รวมถึงการประยุกต์ใช้เทคโนโลยีดิจิทัลในการ ปรับปรุงกระบวนการท างาน (Digital Transform
(functional reporting) ตรงต่อคณะกรรมการตรวจสอบ และรายงานด้านการบริหารงานทั่วไป (administrative reporting) ต่อเลขาธิการ การรายงานด้านการปฏิบัติงานตรวจสอบภายในต่อคณะกรรมการตรวจสอบ เช่น • การเสนอกฎบัตรของฝ่ายตรวจ
operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person
operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person
operational audit; (2) Arrange to have personnel perform duty as investment manager or to solicit investors, with prepared investment plans, to enter into a contract with derivatives fund manager. Any person
Disclosures (TCFD) Checklist For companies that are new to the TCFD, below is a checklist of practical steps to implement to start to align with the recommendations. Although designed to help companies to