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
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company