SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
. [A] 2.3 Examination · Requestor and computer division include other concerned user shall participate in examination in order to ensure that operational computer system, which developed or altered
Examination o Requestor and computer division include other concerned user shall participate in examination in order to ensure that operational computer system, which developed or altered, having an
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
with a firm commitment to efficiency, transparency and fairness. We have reached our operational goals and witnessed continual market development including stronger ethical conduct in all important areas
website has become a comprehensive source of important information relevant to listed companies such as financial conditions and operational results, reports on changes in securities holding (Form 59-2
แบบรายงานมูลค่าความเสียหายที่เกิดจาก operational risk
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
and enhance the operational efficiency of the organization. We formulate a digital strategy plan for the first time, using digital technology and data as key drivers. The plan includes the use of
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and