16/1.16 17 A securities company shall get to know its client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. 16 Amended by
its client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. 16 Amended by Notification of the Securities and Exchange
customer. Clause 19. Derivatives broker shall arrange to have information or documents or evidence used for opening of the account sufficiently to identify the customer’s financial condition, debt repayment
to have information or documents or evidence used for opening of the account sufficiently to identify the customer’s financial condition, debt repayment capability, objective of investment and
performance and financial position • Assess the impact that a further disruption of activities would have on the business and identify which areas of activity should be prioritised when taking steps towards
business, financial performance, and financial position • Assess the impact that a further disruption of activities would have on the business and identify which areas of activity should be prioritized when
guidelines. 9. The organization can identify and assess changes that could have impacts on the system of internal control. Questions Yes No 9.1 The company assesses changes of external factors which could
a computer system relating to trading services with respect to derivatives to be intruded. Clause 29 When an incident occurs, the derivatives exchange shall collect relevant information to identify
percent from January 1, 2019 onwards. It also requires the Bank, which is identified as a Domestic Systemically Important Bank (D-SIB), to have additional capital to meet the Higher Loss Absorbency (HLA