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

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support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are

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

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the

mutual reliance and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the major shareholder. If the business structure of the Company or

objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be