of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
company shall notify the Office within fourteen days from the date of the change of such information. In the case where the Office considers that such change of information results in non-compliance with
) Limited company or public limited company of which the fund supervisor, its directors, managers or persons with power of management who are responsible for the line of work relating to being fund supervisor
in the making of key business policies; - ensuring the information disclosure of such companies is accurate and complete and in line with the disclosure rules of the Company with regard to, for example
securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
line of work relating to capital markets according to Clause 7; (3) a person to be appointed shall not be a director, executive, or employee for another company which undertakes business similar to or in
shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group
overall business operation of the Company or its group of companies. 2. Nature of business operation In case of more than one product line or business group, disclose the income proportion of each product
of director, derivatives investment manager, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the line of work
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment