maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under Clause 2, the
Privacy Policy Personal Data Protection Policy for Internal Administration (Website) The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data
necessary for carrying out critical activities; “critical information systems” means information systems which support the operation of the critical activities, for example, trading systems, back-office
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. In granting an approval under
orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. 14 In granting an approval under the first
) an efficient system for receiving and executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary ’s offices, for example, internal audit