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

, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment

fund realizing the usefulness and necessity of assessment relating to suitability for investment in order that the member would be able to select proper investment policy. In case of the result of

by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and

member is able to select investment policy properly. Clause 31 For the purpose of compilation and assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s

) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3

2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment

characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary

guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the

that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes