the operating systems; (6) establish an effective management process for technical vulnerability as follows: (a) carry out penetration testing with critical information systems connected to untrusted
operating systems; 11 (6) establish an effective management process for technical vulnerability as follows: (a) carry out penetration testing with critical information systems connected to untrusted networks
well. Division 7 Cross-border communication In case where a intermediary has a transaction or a service usage from a foreign service provider, a intermediary should have an effective plan for
effective plan for communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border
or should have been known, but not exceeding two years from the effective date of registration statement.” 1 I. DESCRIPTION OF THE DEBT SECURITIES A. Economic Terms of the Debt Securities 1. Provide
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
Commission No. Kor Thor. 65/2547 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers dated 22 December 2004 that have been in force and effect prior to the effective date of this