operation instantly when encounter it such as disable, delete out from the system or change the password etc.. [M] 4. Security of the computer server. · Having method or compliance guideline for inspect the

, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in accordance with the laws

the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the

will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the

and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain

. Division 2 Outsourcing Non-central Utility Function ______________________________ Clause 14 In case of outsourcing non-central utility function, an intermediary shall select a service provider who has the

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 case of inspection by an

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification