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SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
. Thomas Frakes and company’s stamp Expected Benefits 1. Increased income from the expansion of distribution channels as well as improved service for existing customer base; and more credibility by switching
well as improved service for existing customer base; and more credibility by switching from a distributor to a manufacturer 2. Create opportunity to increase production capability to shorten lead time
established market risk management processes for new financial products, and improved related processes for existing products. In 2019, global financial markets were quite volatile due mainly to the unresolved
improved related processes for existing products. In 2018, global financial markets were quite volatile due mainly to the unresolved US-China trade war. Emerging countries, including Thailand, felt the
processes for new financial products, and improved related processes for existing products. In 2017, global financial markets were volatile amid a number of key events. These included US fiscal policy and