of information which should not be disclosed between units and personnel (Chinese wall), a system for internal audit and internal control. Such policies, rules and practices shall be prepared in

and reports as well as a backup system and an emergency plan for recovering information stored in an electronical form; (2) determining a password to access information stored in an electronic form and

authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the

the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause

office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by the notification of the

the application to head office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by

) information assets, i.e., information, electronic data, and computer data. Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the

), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to

approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls