financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
operated. General controls are implemented to ensure that all automated applications are developed, implemented, and maintained properly, and in addition, that the integrity of program and data files and of
of the SLBP but also ensure proper monitoring, disclosure and verification as per section 4 of the SLBP. In particular, issuers of SLBs should publish, and keep readily available and easily accessible
these inspections regularly communicated to ensure timely rectifications of any deficiencies found. Through such efforts, the SEC is now widely recognized as a trustworthy and effective independent audit
shall ensure investors in both Hong Kong and Thailand receive fair treatment, including in respect of investor protection, exercise of rights, compensation and disclosure of information; and there must 1
Covered Management Company of the Thai Covered Fund shall ensure investors in both Thailand and Hong Kong receive fair treatment, including in respect of investor protection, exercise of rights
and engagement level. In 2015, the SEC adjusted the composition of the QARP by including professional practitioners on the panel to benefit from their views on practical issues and to ensure careful
, both listed companies and audit firms ought to put in place proper work processes and internal controls to ensure the desired outcomes. Listed companies need a suitable internal control system and a well
updating its technological systems to ensure that it can cope with possibility of a significant surge in transaction volume. Nonetheless, commercial banks are likely to be exposed to technological failure