On May 5, 2025, TAI EXC updated the Standard specification for internal control system of securities firms re internal audit implementation rules for TAI DCC, checklist.
The amendments will be effective from Jun. 1, 2025.
Document dated May 5, 2025, received from TAI EXC May 6, summarized on May 7.
On Apr. 11, TAI EXC revised internal specification for securities, FCMs.
TAI EXC revised Standard specification for internal control systems of securities firms.
In addition, it revised Standard specification for internal control systems of futures commission merchants (FCMs) operating securities trading auxiliary business.
Amendments
Amend the internal audit rules in standard specifications to align with practical work.
Make amendments to the internal control system of depository clearing operations of the standard specification to align with TAI DCC's letter re customer data, #223887.
Amend the working papers, review checklist and other checklists accordingly.
Effectiveness
The amendments will be effective from Jun. 1, 2025.
May 2025 Further Amendments
On May 5, 2025, TAI EXC updated the Standard specification for internal control system of securities firms re internal audit implementation rules for TAI DCC, checklist.
The amendments will be effective from Jun. 1, 2025.
Document dated May 5, 2025, received from TAI EXC May 6, summarized on May 7.
