concerning relevant parties and personnel in charge of communications. The business continuity plan under the first paragraph must be approved by the board of directors or a working committee appointed by the
technology security of the securities company in writing and have it approved by the Board or Committee of the securities company. Clause 3. The securities company shall provide an inspection of information
report should be submitted to the board of directors, the executive board or any designated committee; (2) improving the operation according to the suggestions or issues detected by the compliance unit or
approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for
outsourcing policy having been approved by the board of directors of the intermediary or the committee assigned by the board of directors thereof. Additionally, such policy shall have minimum details as
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall communicate the policy thoroughly in order to
inter-dealer brokerage company, and registered derivatives intermediary; “ intermediary’s board of directors ” means the board of directors of an or a committee assigned by the board of directors of an
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board