of assets of each client in a separate account which is segregated from the derivatives broker ’s account. A derivatives broker shall report to clients on custody of assets of clients in accordance

of cloud computing under Clause 8(1) which contains at least the following matters: (1) assess risks relating to the use of cloud computing services; (2) define areas or function the cloud computing

Keeping of Clients’ Assets Clause 12 A securities company shall prepare records of each client’s assets under its custody in a separate account from any other asset account of the securities company and

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

. for the purpose of compliance convenience and render efficiently controlling for accessing the importance computer devices. Moreover, it should be separate the zone that officer from various division

otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising

during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to

following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the

securities company shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising from major operational

Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency