; · abnormal operation ; · compliance and alteration a network by unauthorized person. · Preparing a network diagram which having a detail related to scope of internal network and external network and other

Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.

organization, use of information and information systems in compliance with assigned roles and responsibilities, unauthorized access, abnormal and/or illegal use of information systems and user identification of

has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention

business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these

Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

conflict of interest in the organization, use of information and information systems in compliance with assigned roles and responsibilities, unauthorized access, abnormal and/or illegal use of information

supervisory standards on collective investment schemes with characteristics similar to mutual funds (Principles 24-27); however, in case of outsourcing the function which is investment management or derivatives

funds or the transferred mutual funds which are dissolved due to the merger or the amalgamation shall be in accordance with the Notification No. TorNor. 75/2552, mutatis mutandis . However, the provision

case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice