necessity prior to the end of such period of time. Clause 4. In the case where there appears later a change of any material information provided in the application filed with the Office, the securities

systems assets or equipment assets shall be identified and inventory of these assets should be drawn up an maintained. Such inventory shall be reviewed at least once a year or upon any material change

written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or

board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or modification to the business continuity plan, the securities company

material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or

material change. Additional Guidelines - None - 4.2. Asset Classification and Media Handling Objective: To ensure that the critical IT assets are protected at an appropriate level and to prevent unauthorized

prescribed under the said notifications except for a case where there is difference in procedures which does not result in any material change of the qualifications stated in the application. Clause 26 Any

to the SEC Office within fifteen days as from the date of outsourcing, and in case of a material change, the intermediary shall notify the SEC Office of such change within fifteen days as from the date

in any material change of the qualifications stated in the application. Clause 26 Any licensee of derivatives business in the category of derivatives brokerage which is a company newly established for

Management of Property and Loan Funds ; “ inside information ” means any fact that is material to the change of the prices of securities or derivatives and has not been disclosed to the public, and any