giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from seeking benefits wrongfully by

technology risk and cyber risk by giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from

importance to information technology security, integrity and availability; (e) preventing the business operator, directors, executives and employees from seeking benefits wrongfully by virtue of duty

technology security, integrity and availability; (e) preventing the business operator, directors, executives and employees from seeking benefits wrongfully by virtue of duty performance. 3 (3) notifying the

. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking

the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4

business undertaking; “executive” means an executive under the Notification of the Securities and Exchange Commission on Qualifications and Prohibited Characteristics of the Executives of a Securities

Characteristics of the Executives of a Securities Company; “investor contact” 2 means persons whose duties are to contact, solicit, advise or plan investment for investors or a securities company’s client and are

” means an executive under the Notification of the Securities and Exchange Commission on Qualifications and Prohibited Characteristics of the Executives of a Securities Company; “investor contact” means

asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from