possible that those committing predicate offences under anti-money laundering legislations may use securities transactions to launder illegal proceeds, risks may be posed to the securities companies in
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on securities trading and
provide a sufficient security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on
reporting, losses of assets, corruptions, management override of internal controls, manipulations on important financial information, unauthorized acquisition or disposition of assets etc. 8.2 The company
; Documents for completed matters will be stored at a warehouse with appropriate security measures against unauthorized access. 3. Retention Period The retention period for personal data shall be in compliance
appropriate security measures against unauthorized access. 3. Retention Period The retention period for personal data shall be in compliance with the Data Retention Policy. 5. Personal Data of Minors The SEC
and [ii] directors unauthorized to affix binding signature. Clause 49 A person having held the position of an independent director, who has already obtained approval [i] before this Notification comes
contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze securities investments; “investment advisory agent