[{"_1":2,"_126":-5,"_127":-5},"loaderData",{"_3":4,"_28":29,"_30":31},"root",{"_5":6,"_7":-5,"_8":9},"locale","id","session","ENV",{"_10":11,"_12":13,"_14":15,"_16":17,"_18":19,"_20":21,"_22":23,"_24":25,"_26":27},"APP_ENV","production","APP_URL","https://veritask.ai","GA_MEASUREMENT_ID","G-X1BV3QBZEM","META_PIXEL_ID","4698743733686194","TIKTOK_PIXEL_IDS","D8A3HTBC77U9J3L243V0","CLARITY_PROJECT_ID","wn9rn7xb4l","AMPLITUDE_API_KEY","74a0c7cc1509a379d3647ec140dd375","MIDTRANS_CLIENT_KEY","Mid-client-hwjEU5pmwAKVMbIA","MIDTRANS_SNAP_URL","https://app.midtrans.com/snap/snap.js","routes/$locale",{"_5":6},"routes/$locale.search-engine.regulation.$regulationId",{"_32":33,"_34":35},"regulationId","fd192a2a-c7ee-45ef-90d5-b2492a4a11ac","regulationData",{"_36":33,"_37":38,"_122":123,"_124":125},"regulation_id","overview",{"_39":40,"_41":42,"_43":44,"_45":46,"_47":48,"_49":50,"_51":52,"_53":54,"_59":60,"_61":62,"_66":67,"_74":75,"_76":77,"_78":79,"_80":81,"_82":-5,"_83":84,"_85":86,"_87":-5,"_88":89,"_90":91,"_92":93,"_94":95,"_101":102,"_103":104,"_105":106,"_107":108,"_109":110,"_111":112,"_113":114,"_115":116,"_117":118,"_119":-5,"_120":121},"title","Peraturan Otoritas Jasa Keuangan Nomor 50/POJK.04/2020 Tahun 2020 tentang Pengendalian Internal Perusahaan Efek Yang Melakukan Kegiatan Usaha Sebagai Perantara Pedagang Efek","short_title","Peraturan Otoritas Jasa Keuangan Nomor 50/POJK.04/2020 Tahun 2020","number","50/POJK.04/2020","year","2020","published_date","2020-12-03","effective_date","2020-12-11","status_id","3611a577-44a0-41ad-986d-7457e14f52ff","status",{"_6":52,"_55":56,"_57":58},"name","Berlaku","description","Peraturan yang masih berlaku dan memiliki kekuatan hukum yang mengikat","type_id","87562a34-231b-40c7-9b97-1b05bf771685","type",{"_6":60,"_55":63,"_64":65},"Peraturan Otoritas Jasa Keuangan","short_name","Peraturan OJK","subjects",[68,71],{"_6":69,"_55":70,"_57":-5},"54d08c24-6ebe-45ac-aceb-ef774a10c175","Badan Usaha & Perdagangan",{"_6":72,"_55":73,"_57":-5},"9b740be1-c6ec-4a7c-a83f-061d3071eaf8","Pengendalian Internal Pemerintah","tags",[],"location","Otoritas Jasa Keuangan","place_of_enactment","Jakarta","theme","Pengendalian Internal Perusahaan Efek Yang Melakukan Kegiatan Usaha Sebagai Perantara Pedagang Efek","subject_matter","abstract","\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n


2020
Peraturan Otoritas Jasa Keuangan NO. 50/POJK.04/2020, LN.2020/NO.274, TLN NO.6587, peraturan.go.id : 38 hlm
Peraturan Otoritas Jasa Keuangan TENTANG Pengendalian Internal Perusahaan Efek Yang Melakukan Kegiatan Usaha Sebagai Perantara Pedagang Efek
ABSTRAK:	\n \n \n
CATATAN:	\n \n Peraturan Otoritas Jasa Keuangan ini mulai berlaku pada tanggal 11 Desember 2020. \n \n

","regulatory_relationship","Peraturan ini mencabut:\n1. Keputusan Ketua Badan Pengawas Pasar Modal Nomor Kep-548/BL/2010 tentang Pengendalian Internal Perusahaan Efek yang Melakukan Kegiatan Usaha Sebagai sebagai Perantara Pedagang Efek, beserta Peraturan Nomor V.D.3 yang merupakan lampirannya.","scope_and_parties","policy_content","Peraturan Otoritas Jasa Keuangan ini mengatur tentang pengendalian internal Perusahaan Efek yang melakukan kegiatan usaha sebagai Perantara Pedagang Efek. Latar belakang penerbitan peraturan ini adalah beralihnya fungsi, tugas, dan wewenang pengaturan dan pengawasan kegiatan jasa keuangan di sektor pasar modal dari Badan Pengawas Pasar Modal dan Lembaga Keuangan kepada Otoritas Jasa Keuangan. Tujuan dari peraturan ini adalah untuk memberikan kejelasan dan kepastian hukum mengenai pengaturan pengendalian internal Perusahaan Efek.\n\nKetentuan substansial dalam peraturan ini mencakup kewajiban bagi Perantara Pedagang Efek untuk memiliki sistem pengendalian internal yang sesuai dengan ketentuan peraturan, termasuk memiliki dan melaksanakan paling sedikit 6 (enam) fungsi yaitu pemasaran, manajemen risiko, pembukuan, Kustodian, teknologi informasi, dan kepatuhan. Peraturan ini juga mengatur pemisahan fungsi-fungsi tersebut. Peraturan ini juga mengatur secara rinci mengenai pelaksanaan masing-masing fungsi tersebut, termasuk tanggung jawab unit kerja yang menjalankan fungsi, persyaratan yang harus dipenuhi dalam pelaksanaan fungsi, dan kewajiban pelaporan kepada Bursa Efek dan Otoritas Jasa Keuangan apabila terdapat permasalahan yang mengakibatkan fungsi tidak dapat beroperasi sebagaimana mestinya. Peraturan ini juga mengatur mengenai alih daya fungsi Perantara Pedagang Efek kepada Pihak lain.","transitional_provisions","(-)","sanctions","1. Setiap pihak yang melanggar ketentuan dalam peraturan ini dikenai sanksi administratif.\n2. Sanksi administratif dapat berupa peringatan tertulis, denda, pembatasan kegiatan usaha, pembekuan kegiatan usaha, pencabutan izin usaha, pembatalan persetujuan, dan/atau pembatalan pendaftaran.","revokes",[96],{"_97":98,"_99":100},"text","Keputusan Ketua Badan Pengawas Pasar Modal Nomor Kep-548/BL/2010 tentang Pengendalian Internal Perusahaan Efek yang Melakukan Kegiatan Usaha Sebagai sebagai Perantara Pedagang Efek, beserta Peraturan Nomor V.D.3 yang merupakan lampirannya","link","","revoked_by",[],"partially_revokes",[],"partially_revoked_by",[],"amends",[],"amended_by",[],"partially_amends",[],"partially_amended_by",[],"establishes",[],"established_by",[],"constitutional_review","is_verified",false,"english_excerpt","\n\n

CHAPTER III
MARKETING FUNCTION

Article 9

The implementation of the marketing function as referred to in Article 4 letter a must comply with the following provisions:

the work unit that performs the marketing function is responsible for:\n
1. implementing customer due diligence in accordance with the provisions of the Financial Services Authority Regulation regarding the implementation of anti-money laundering and terrorism financing prevention programs in the financial services sector;
2. making a regular Securities account opening contract with the customer;
3. making a financing Securities account opening contract with the customer for customers who receive financing facilities in accordance with the provisions of the Financial Services Authority Regulation regarding Securities transaction financing
  
  by Securities Firms for customers and short selling transactions by Securities Firms;
4. makin

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