SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an
controllers and processors of personal data must follow necessary processes, such as, notification of objectives on collecting, processing or disclosing the personal data, requesting of consents, protection
processing and confirming the redemption orders in violation of the tax terms; (2) In the case of {B}, she was found to sign the redemption orders without double-checking the correctness of
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the
Technology (1999) Plc. (PRO) to make incorrect and inaccurate accounting records from Q2/2006 to Q1/2009 concerning loans to other parties, investment in aluminum processing project, and the purchase of
processing;(5) Have a data protection and governance;(6) Disclose the scope and limitations of services to the investors. SEC publishes the public hearing document on this issue at SEC website
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this