sufficient resources to support the implementation of the policy. Clause 5. A securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business
transactions or involving multiple jurisdictions. 2 Clause 4 The derivatives clearing house shall regularly assess the adequacy of the value of the financial resources for covering credit risk and liquidity risk
their opinion on financial reporting as required by relevant professional standards to ensure that financial reporting represents its true and fair economic substance, operational performance and is
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency incidents which may cause major
or complies with the rules or conditions for obtaining an approval according to this Notification, but there is a certain fact indicating that the purpose or the substance of such offering is to avoid
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
requirement according to the principles of the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of