); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker

: 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

company undertaking securities business. Investor contact are divided into two categories: Category A investor contact who can analyze securities investment and Category B investor contact who cannot

investors, and are divided into two categories: Category A Investor Contact and Category B Investor Contact; (3) “Category A Investor Contact” means any investor contact who is also authorized to analyze

substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to

Investor Contact” means any investor contact who is also authorized to analyze securities investments; “Category B Investor Contact” means any investor contact who is not authorized to analyze securities

analyze the investment in securities and Category B Investor Contact who is not authorized to analyze the investment in securities; “analysis of investment in securities” means an analysis of various data

well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the