appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for business continuity management 2 (2
shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of an
procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b
. Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to Clause 30 of the Notification on Standard Conduct of
fraud in assessing risks to the achievement of the organization’s objectives. Questions Yes No 8.1 The company assesses the potential for fraud covering all types of fraud including fraudulent financial
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the
information in each section of the prospectus under Clause 5 shall be as follows: (1) Fact sheet containing the particulars and information in accordance with Chapter 1 Division 1, and Chapter 3 Division 6; (2
Management Sub-committee Information Technology Strategy Sub-committee Digital Oriented Risk, Data & Cyber Security and IT Risk Management Sub-committee (DCSC) Enterprise Risk Management Division Customer