with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to

minimum: 1. Security of IT assets ; - access control [Referring to Item 5]; - physical and environmental security [Referring to Item 7]. 2. Information management and confidentiality: - asset classification

at least once a month in order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to

its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office

proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information

assets of any persons under (1) to (7) in the form of private funds, provident funds or mutual funds. “Office” means the Office of the Securities and Exchange Commission. Clause 2. Giving advice in the

management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside

should be adequate and unambiguous for the investors to understand the investment policy, securities or assets or contract in which the fund intends to invest, all risks relating to the investment, type of

Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation

directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged