who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict

refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort

securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security

securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities

the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of

licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business

(Recovery point objective), such as data on assets of customers and funds, securities or unit trading transactions or information on NAV, so that companies are able to operate consecutively and render no

including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic

., computers, equipment, data recorders, and other equipment; (3) information assets, i.e., information, electronic data, and computer data; “ critical IT assets ” means the IT assets that are related to or

information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing