Clause 18; (3) physical and environmental security measures of equipment assets under Clause 19; (4) assess control of operating systems and information under Clause 20. Clause 15 An intermediary shall
computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
such assets, and for internal control to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and