operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once
processing completely, accurately, and effectively such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Clause 9 An intermediary shall establish
company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the