against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
assets in accordance with the following criteria: (1) assess security requirement of IT assets based on their results of a risk assessment and criticality; (2) define the secure areas and the siting of the
: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities
) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency incidents which may cause major
clearing house shall regularly assess the adequacy of the value of the financial resources for covering credit risk and liquidity risk, by at least conducting the following tests: (1) a daily stress test
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
impairment loss for goodwill and for those investments in subsidiaries, (2) to assess the impairment loss for other assets, apart from goodwill in the consolidated financial statements, such as property, plant
rating process. IOSCO members recognize that credit ratings, despite their numerous other uses, exist primarily to help investors and other users of credit ratings assess credit risks. Maintaining the
; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision. The operation under Paragraph 1