from the day the testing is completed. Clause 25 In cases where there is a change to a computer system relating to trading services with respect to derivatives to the extent that it affects the business

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to

information related to provision of services as a derivatives clearing house sufficiently to the extent that members or their clients, or any involved persons understand risks from use of the services, and

system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into

to prevent conflict of interest; (2) risk management system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business

caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into appraisal in risk management

provision of services as a securities clearing house or central securities depository to the extent that members or their clients, or any involved persons understand risks from use of the services, and shall

their duties to the fullest extent. Throughout 2019, the SEC organized training sessions and seminars on emerging issues with significant changes to stakeholders at all levels, e.g., executive officers of

โดยใน DB2019 ประเทศไทยได้คะแนนในหัวข้อนี้ 6/10 และได้คะแนน 5/6 ใน DB2020 Best regulatory performance: India Kazakhstan and Malta 2.2 Extent of ownership and control (การเป็น https://www.sec.or.th/TH

seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal