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
assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3
oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of
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
, the SEC implements the procedures for increasing the quality of their work on a continuing basis. This includes regular inspection of audit firms’ quality control system and random inspection of
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
ครอบคลุมการดำเนินการอย่างน้อย ดังนี้ (ก) กำหนดผู้รับผิดชอบต่อความเสี่ยง หรือเจ้าของความเสี่ยง (risk owner) (ข) ระบุการควบคุมที่มีอยู่ในปัจจุบัน (existing control) (ค) วิเคราะห์โอกาสหรือความถี่ที่จะเกิด