the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up

each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall

intermediaries should study standards and practice guidelines for business continuity management from other related agencies, such as Business Continuity Institute (BCI) or International Organization of Securities

prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the

demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with

insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology

education: Degree Major Name of Institution year of graduate …………. ………………….. ………………. ……………. …………. ………………….. ………………. ……………. 3.2 Working experience (during the past five years): Name of working place Position