servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
, efficiently and up to date. Clause 9. The securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be
ครอบคลุมการดำเนินการอย่างน้อย ดังนี้ (ก) กำหนดผู้รับผิดชอบต่อความเสี่ยง หรือเจ้าของความเสี่ยง (risk owner) (ข) ระบุการควบคุมที่มีอยู่ในปัจจุบัน (existing control) (ค) วิเคราะห์โอกาสหรือความถี่ที่จะเกิด
held at least twice a month for revision and monitoring of performance , mechanism for regular measurement, monitoring and control of the risk from investment and system for recording and retaining the
including the work-from-home cooperation, the SEC adopted a remote approach for inspection of audit firms’ quality control systems, which enabled the SEC to maintain a regular inspection of such systems. In
knowledge and understanding of accounting principles, specified expertise, and regular skill improvement in their respective fields. Concurrently, the IPO and PO issuers would be required to disclose
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which