, impersonation, delivery of chain e-mail, and disclosure of the organization’s sensitive information. 4. IT Asset Management 4.1. Responsibility for Assets Objective: To ensure that the critical IT assets are
following businesses: (a) rail or pipe transportation system; (b) electricity; (c) water supply; (d) road, toll road or concession road; (e) airport; (f) deep sea port; (g) telecommunication or information
representing entitlement in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange
advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the
system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or
guidelines. The rules or practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets ; (2) keeping of records of clients’ assets ; (3
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to