SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
assets . For the purpose of (4) in the first paragraph, the term “ information processing facilities ” means any equipment, operating systems, or infrastructure that are necessary or facilitate data
assets. 5 For the purpose of (4) in the first paragraph, the term “information processing facilities” means any equipment, operating systems, or infrastructure that are necessary or facilitate data
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
information or the organization’s critical information systems, but excluding the clients; “information processing facility” means any equipment, operating systems, or infrastructure that are necessary or
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variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an
such application. These controls are implemented to ensure that transactions and data from both manual and automated processing are valid and completely and accurately recorded (ITGI, 2007). 6 Types of
commercial banks; The Thai Bond Market Association; Database Bloomberg; Digital asset business operators (exchanges, brokers, and dealers) via ICO Portal. 2. Purposes of Data Processing Data Processing