) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

with indirect connection to the organization’s internal network systems; “ cloud computing ” means a type of internet-based computing that provides shared computer processing resources and data on demand

audit quality control of the Audit Firm, the Audit Firm is requested to provide a clear and concise details of the policies and procedures on the audit quality control, in the manner according to the

quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor

5.3 Number of investment consultants (if any): ...... Person(s) 5.4 Back office operation Located at a full branch office Sharing resources with a full branch office Located at

from major operational disruption to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 4 Business continuity plan in accordance with

securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A

business strategy, the use of a common brand name, or a significant part of professional resources. Audit Oversight Authority means a foreign authority which exercises function corresponding to the SEC

management of information technology resources which covers the allocation of resources to ensure sufficiency for business operation and establishment of guidelines to support incidents where the resources are