management, designation, control, and supervision of policies of an applicant ; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
) segregate access control roles, e.g., access request, access authorization, and access administration; (3) at a minimum, identify the networks and network services which are allowed to be accessed and
information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its
of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception
: 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
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply