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
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
effects on the financial statements of undetected misstatements, if any, could be material but not pervasive ( 2.2.1 Circumstances beyond the control of the entity (paragraph number........) ( 2.2.2
with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to
. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management
) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
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
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of