protect IT assets in accordance with the following criteria: (1) assess security requirement of IT assets based on their results of a risk assessment and criticality; (2) define the secure areas and the

who is supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in

on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the

Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come

assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s information: (1) personal information of the client or beneficial owner and information of their

Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the Office of the Securities and Exchange Commission hereby issues the following

) should be in line with the policy and management of enterprise risk and should contain the following matters at a minimum: (1) identification of IT-related risks; (2) assessment of risk which covers

shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the

. Internal control and risk management 11.1 Summarize the board of directors’ opinions on the Company’s internal control in the following matters. The Internal Control Adequacy Assessment (risk management

Clause 2 have details as provided in 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