system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information; (d) non-public information protection system between the agent and its
stored at a warehouse with appropriate security measures against unauthorized access. 3. Retention Period The retention period for personal data shall be in compliance with the Data Retention Policy. 5
consistently a name list of user for the importance operational system and inspecting a name list account of unauthorized user such as the name list account of resigned officer, default user etc. and cease the
or modifying. [M] o Inspecting consistently a name list of user for the importance operational system4 and inspecting a name list account of unauthorized user such as the name list account of resigned
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on securities trading and
provide a sufficient security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on
, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the access to or amendment of such information by any unauthorized