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Article NO. Content


Directions for Internal Control of Securities Firms Using Modelling in Management Operations  CH

Amended Date: 2016.04.08 
Categories: Market Supervision > Regulation of Securities Firms
Article 1     These Directions are established for managing the use by securities firms of pricing models that calculate capital adequacy ratios and other legally required ratios for the efficient allocation and use of capital, and also as directions for the risk management systems, self-assessment mechanisms, and internal auditing procedures that securities firms shall develop to maintain effective operation of the internal control systems.