related party transactions 33 Part 3: Financial Statements 36 Part 4: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to
governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by such board of
written policy, scope, or definition of work to be outsourced, with approval, whether on a general or case-by-case basis, of the board of directors or the working group assigned by the board of directors
policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
group assigned by the board of directors; (2) establish risk management measures which are sufficient to effectively prevent and manage risks in different areas; (3) regularly review said policy framework
assigned by the board of directors; (2) establish risk management measures which are sufficient to effectively prevent and manage risks in different areas; (3) regularly review said policy framework and risk
securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3) 2 provide a written contract or