or their assigned persons with whom the intermediary communicates and provides services; (4) a procedure for monitoring and inspecting communication and provision of services, namely: (a) monitoring

application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during

before its own interest where such trading or investment may constitute a conflict of interest with its client. Chapter 5 Communication with and Providing Services to a Client _____________________________

authorized persons, procedures to control and prevent access to networks and network services, the means used to access securely, user authentication requirements, and monitoring the authorized uses of network

communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having efficient system of operational control for examining and counterbalancing [the

acknowledge the occurrence of emergency incidents, the impacts happened, the communication channels for customers of relevant persons to contact for using services or to communicate with companies throughout a

Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows

risks; (3) Employees communication and training on policies and guidelines for anti-corruption; (4) Guidelines for monitoring and evaluating the implementation of the anti-corruption policy; (5) Review of

separate row. 1.2.2 Product information Give a separate description of each product line or business group in the following matters. (1) Characteristics of products or services and development of business

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be