and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets shall be in custody of a third party, the intermediary shall provide efficient

: (a) specifying a supportive measure for business continuity under Clause 20(1)(b) which shall include an arrangement of an alternative site and readiness testing thereof on a regular basis; (b) in case

can be promptly retrieved and inspected by the SEC Office. In arranging the giving of advice by a foreign securities business operator , a securities company licensed to undertake securities business in

protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets

of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that

matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a

effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system

securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of