sufficient resources to support the implementation of the policy. Clause 5. A securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency incidents which may cause major
derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However, should there be any
to customers and derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities