business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
representative office abroad .................................................................................................................................................... 3.2 Having a work plan for
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
investment through a website or any other electronic media which may be securities analysis in a personal article accessible for the general public’s perusal or sharing of opinions on investment through a
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause
and reports as well as a backup system and an emergency plan for recovering information stored in an electronical form; (2) determining a password to access information stored in an electronic form and