backup media and copies of backup procedures in a remote location to escape any damage from a disaster at the main site, which should be given an appropriate level of protection as described in the section

information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit

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

may arrange an alternative site for supporting continuity of operation. Such alternative site should not use the same source of infrastructure as the main office, should have a location distant from the

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)

year. Clause 6 The securities clearing house shall apply effective measures and methods for monitoring and control of outstanding clearing and settlement of securities and risk incurred by each member to

change to the market condition and conduct a full validation of such model at least once a year. Clause 6 The derivatives clearing house shall apply effective measures and methods for monitoring and

objective, purpose, or strategy of operation or procurement of benefit of REIT for investor’s understanding and use it as guideline for monitoring REIT business operation direction in the future; 2.2

business operation. Meanwhile, Senior Management ensures that policies, processes and systems for controlling, monitoring and reporting risks and capital are in place whereas segregation of duties and

securities company must: (1) determine characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious