either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
which covers the methods for selection and evaluation of cloud providers, review of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence; (2) policy on
risks as basis for determining how the risk should be managed. Questions Yes No 7.1 The company identifies all risks which may affect business operation at levels of organization, business unit
of the qualifications of the cloud providers, the terms of services, and inspection of records and evidence. Clause 9 An intermediary shall establish the information security which addresses at least
. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or