into consideration to identify the severity of behaviors under the first paragraph hereof shall be mutatis mutandis in accordance with the Notifications of the Office of the Securities and Exchange
consideration to identify the severity of behaviors under the first paragraph hereof shall be mutatis mutandis in accordance with the Notifications of the Office of the Securities and Exchange Commission
client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. The provision in the first paragraph shall apply to the counter trader
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
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