SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the outsourcing
ITGC Elements 11 • Application: Interface designed to allow a user to store/retrieve data in a logical and meaningful manner and apply predefined business rules to that data. Examples include SAP
ช่วงวัย ที มา : https://josesotoprado.substack.com/p/invest-like-the-best 5 https://cdn.substack.com/image/fetch/f_auto,q_auto:good,fl_progressive:steep/https:/bucketeer-e05bbc84-baa3-437e-9518
intermediary in the category of derivatives investment management and shall obtain a prior consent from the client, who uses the service from the intermediary. 1 Amended by the Notification of the Capital Market
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
, unless given a written order or consent from the client, on a case-by-case basis. 5 Clause 11 A securities company shall take necessary actions for its clients to obtain the rights and benefits arising
2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive