, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct specified by
service from any service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code
risk, integrity risk of information or the compliance of computer. For the preventing of trespass via the system have an objective for preventing person, virus other malicious code unable to access risk
, for the purpose of listing my name onto the Issuing Company’s Director and Executive Database of the company, to inspect my personal information relevant to consideration of the SEC Office and to
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
. (Unofficial Translation) Page 3 of 4 (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws
suitable for different situations. (Unofficial Translation) Page 3 of 4 (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and
established 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
) tightly restrict and control the use of utility programs and limit access to program source code. Chapter 4 Information Communications Security via Computer Network Systems and Operations Security with