(Maker & Checker) (2) Having a clear prescription of duty of the person in an operation (3) Having work procedures for reference and training of new staff. In the case where there is an amendment to the

technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an

technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have