guidelines for the personnel of the intermediary; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition o Inspect the transfer of operation system correct
inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
, for the purpose of listing my name onto the Issuing Company’s Director and Executive Database of the company, to inspect my personal information relevant to consideration of the SEC Office and to
Issuing Company’s Director and Executive Database of the company. In addition, I here by give my permission to the SEC Office to inspect my personal information relevant to consideration of the SEC Office
evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of
- derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to examine as requested. Clause 11. In case where the Office sees appropriate, derivatives broker
readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with